Commercial banks, securities companies, futures companies, insurance institutions, securities investment consulting institutions, independent fund sales institutions and other institutions recognized by the China Securities Regulatory Commission shall meet the following conditions:
(1) They have a sound governance structure, a sound internal control and risk management system, and have been effectively implemented;
(2) It is in good financial condition, with standardized and stable operation;
(3) It has business premises, safety precautions and other facilities suitable for the fund sales business;
(4) It has safe and efficient technical facilities for fund offering, subscription and redemption, and meets the relevant requirements of the China Securities Regulatory Commission on the information management platform of fund sales business. The technical system of fund sales business has been networked with the corresponding technical systems of fund managers and China Securities Depository and Clearing Corporation, and the test results meet the national standards;
(5) A perfect capital settlement process has been established, and the fund management meets the relevant requirements of the China Securities Regulatory Commission on the fund sales settlement fund management;
(6) There is a method system for evaluating the risk tolerance of fund investors and the risk grade of fund products;
(7) It has formulated a sound fund sales business management system, such as business process, professional ethics of sales personnel and emergency measures, which meets the relevant requirements of the China Securities Regulatory Commission on the internal control of fund sales institutions;
(8) Having an internal control system against money laundering that meets the requirements of laws and regulations;
(9) Other conditions stipulated by the China Securities Regulatory Commission.
That's the answer to "What are the requirements for a fund sales license". Because of the space problem, I can't go into details here. If you need to know what other conditions are required for the fund sales licenses stipulated by the China Securities Regulatory Commission for commercial banks, securities companies, futures companies and insurance institutions, that is, Article 9, you can search "Huiyu International" to find out.