(a) institutions engaged in securities or futures investment consulting business, there are more than five full-time personnel who have obtained securities and futures investment consulting qualifications; At the same time, the institutions engaged in securities and futures investment consulting business have more than ten full-time personnel who have obtained securities and futures investment consulting qualifications; At least one of the senior managers has obtained the qualification of securities and futures investment consulting;
(2) The registered capital is more than RMB1000000;
(3) Having a fixed business place and communication and other information transmission facilities suitable for the business;
(4) Having articles of association;
(5) Having a sound internal management system;
(6) Having other conditions required by the China Securities Regulatory Commission.
Institutions applying for securities and futures investment consulting qualifications shall be examined and approved in accordance with the following procedures:
(1) The applicant applies to the local securities regulatory office authorized by the China Securities Regulatory Commission (if the local securities regulatory office is not authorized, the applicant directly applies to the China Securities Regulatory Commission, the same below), and the local securities regulatory office puts forward preliminary opinions after examination and approval;
(2) The local securities regulatory office will submit the application documents to the China Securities Regulatory Commission for approval. After the approval of the China Securities Regulatory Commission, it will issue a business license to the applicant and send a copy of the approval documents to the local securities regulatory office;
(3) The China Securities Regulatory Commission will announce the information of the applicants who have obtained the business license to the public in the form of an announcement.