The brokerage industry specifically includes:
(1) Consumer goods and means of production;
(2) Real estate, science and technology, information, talents, labor, transportation, property rights, culture, marriage, sports, tourism and advertising;
(3) Finance, securities, insurance and futures;
(4) Other brokerage industries as stipulated by laws and regulations. Article 3 The legitimate rights and interests of the qualification identification, approval and registration of brokers are protected by national laws, and no unit or individual may infringe upon them. Article 4 Brokers engaged in brokerage activities shall abide by national laws and regulations, and follow the principles of equality, voluntariness, fairness, equal compensation and good faith. Article 5 Anshan Administration for Industry and Commerce shall be responsible for the supervision and management of brokers. Its main responsibilities are:
(1) Confirmation of brokerage qualification;
(2) Registration of brokers;
(3) Examination and approval and registration of brokerage advertisements;
(four) to supervise and manage the intermediary activities of brokers, protect legitimate brokers, and investigate and deal with illegal business practices;
(five) to guide the work of brokers' self-regulatory organizations;
(six) other duties entrusted by the state.
County (city) Administration for Industry and Commerce shall be responsible for the supervision and management of the intermediary activities of brokers within its jurisdiction. Article 6 The departments of finance, real estate, labor, science and technology shall implement professional management according to their respective responsibilities, and cooperate with the administrative department for industry and commerce to supervise and manage the intermediary activities of brokers. Seventh citizens, legal persons and other organizations engaged in brokerage activities within the administrative area of Anshan City shall abide by these measures. Chapter II Qualification Determination Article 8 Anyone who engages in brokerage intermediary business must pass the training examination of Anshan Administration for Industry and Commerce in accordance with the national examination outline, and those who pass the examination will be issued a unified national brokerage qualification certificate and hold relevant certificates.
Engaged in brokerage business in special industries such as finance, insurance, securities, futures and other countries with special provisions, they should also have corresponding professional brokerage qualification certificates. Professional brokerage qualification certificate shall be handled by the relevant departments. Article 9 A person who meets the following conditions may apply for a brokerage qualification certificate:
(1) Having full capacity for civil conduct;
(2) Having a legal identity certificate;
(3) Having a certificate of permanent residence;
(4) Having no criminal offence or economic violation for more than three consecutive years before the application;
(5) Have a high school education or above or certain intermediary skills;
(six) to master the relevant laws, regulations and policies of the state. Article 10 The following persons shall not engage in brokerage activities:
(1) A person without civil capacity or with limited capacity;
(2) functionaries of state organs.
(3) Servicemen;
(4) Staff members of public institutions exercising administrative power;
(5) Persons prohibited by laws and regulations from engaging in brokerage activities. Article 11 After obtaining the qualification certificate of brokerage, a natural person may apply for individual registration, obtain the business license of individual industrial and commercial households and become an individual broker. Article 12 An individual broker must meet the following conditions:
(1) Having a fixed business place;
(2) Having certain funds;
(3) Obtaining a brokerage qualification certificate. Engaged in special industry brokerage business, should also have a professional brokerage qualification certificate;
(4) establishing special account books;
(five) in accordance with the provisions of relevant laws and regulations. Article 13 A brokerage company shall be established in partnership by persons with brokerage qualification certificates. A brokerage company shall meet the following conditions:
(1) Having a fixed business place;
(2) Having its own funds of more than 30,000 yuan;
(three) initiated by two or more persons with brokerage qualification certificates as partners;
(four) to engage in brokerage business in special industries, there should be more than two professionals who have obtained the corresponding professional brokerage qualification certificates;
(five) specialized in special industry brokerage business, there should be more than four full-time personnel who have obtained the corresponding professional brokerage qualification certificates;
(6) There is a written partnership agreement between the partners;
(seven) other conditions stipulated by laws and regulations. Article 14 A brokerage company shall meet the following conditions on the premise of complying with the Company Law of People's Republic of China (PRC):
(1) Having no less than five full-time personnel who have obtained the brokerage qualification certificate;
(two) to run the brokerage business in special industries, there should be more than two full-time personnel who have obtained the corresponding professional brokerage qualification certificates;
(3) There shall be more than four full-time personnel who have obtained the corresponding professional brokerage qualification certificates for those who specialize in brokerage business in special industries;
(4) Other conditions stipulated by laws and regulations. Fifteenth holders of brokerage qualification certificates and meet the requirements of non-brokerage industry stipulated by the state, with the consent of the unit, can engage in part-time brokerage activities in brokerage companies or brokerage companies.