(1) An application for qualification of financial futures brokerage business.
(2) The business license and a copy of the business license stamped with the official seal of the company.
(3) The resolution document of the shareholders' meeting or the board of directors on the futures company's application for the qualification of financial futures brokerage business.
(4) the risk supervision statements of the futures company at the end of two months before the application date, and the written guarantee that the risk supervision indicators of the two months before the application date continue to meet the prescribed standards.
(5) The texts of corporate governance, risk management system and internal control system and their implementation reports.
(6) plans to engage in financial futures brokerage business.
(seven) report on the operation of business facilities and technical systems.
(8) The list of senior managers, heads of major departments and employees.
(9) The last 1 annual financial report audited by an accounting firm with securities and futures-related business qualifications; If the application date is in the second half of the year, an audited semi-annual financial report shall also be provided.
(10) The latest financial report of the controlling shareholder audited by an accounting firm with securities and futures related business qualifications.
(eleven) legal opinions issued by the law firm on whether the futures company meets the conditions stipulated in Item (6), Item (8), Item (9) and Item (11) of Article 12 of these Measures, and whether the resolutions of the shareholders' meeting or the board of directors are legal.
(12) In case of any of the circumstances specified in Item (9) of Article 12 of these Measures, it shall also provide special opinions issued by the dispatched office of China Securities Regulatory Commission where the futures company is domiciled.
(thirteen) other application materials as prescribed by the China Securities Regulatory Commission.