The term "securities and futures investment consulting" as mentioned in these Measures refers to the activities of institutions engaged in securities and futures investment consulting business and their investment consultants to provide securities and futures investors or customers with securities and futures investment analysis, prediction or suggestions in the following forms:
(a) to accept the entrustment of investors or customers to provide securities and futures investment consulting services;
(2) Holding consulting lectures, reports and analysis meetings on securities and futures investment;
(3) publishing articles, comments and reports on securities and futures investment consulting in newspapers and periodicals, and providing securities and futures investment consulting services through public media such as radio stations and television stations;
(four) to provide securities and futures investment consulting services through telephone, fax, computer network and other telecommunications equipment systems;
(5) Other forms recognized by China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission). Article 3 To engage in securities and futures investment consulting business, the business license of China Securities Regulatory Commission must be obtained in accordance with the provisions of these Measures. Without the permission of the China Securities Regulatory Commission, no institution or individual may engage in various forms of securities and futures investment consulting business listed in Article 2 of these Measures.
Securities institutions, futures brokerage institutions and their staff who engage in securities and futures investment consulting business beyond their business scope shall abide by the provisions of these Measures. Article 4 To engage in securities and futures investment consulting business, one must abide by the relevant laws, regulations and rules and the relevant provisions of the China Securities Regulatory Commission, and follow the principles of objectivity, impartiality, honesty and credibility. Article 5 China Securities Regulatory Commission (hereinafter referred to as China Securities Regulatory Commission) and its authorized local securities and futures regulatory departments (hereinafter referred to as local securities regulatory offices) are responsible for the supervision and management of securities and futures investment consulting business and the implementation of these Measures. Chapter II Securities and Futures Investment Consulting Institutions Article 6 An institution applying for securities and futures investment consulting qualifications shall meet the following conditions:
(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. Article 7 Securities operating institutions and futures brokerage institutions applying for engaging in securities and futures investment consulting business outside the scope of their own institutions shall meet the conditions stipulated in Article 6 of these Measures.
Other institutions engaged in consulting business may apply for concurrently engaging in securities and futures investment consulting business if they meet the conditions stipulated in Article 6 of these Measures. Article 8 An institution applying for securities and futures investment consulting qualification shall be examined and approved according to 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 bureau will submit the application documents to the China Securities Regulatory Commission for examination and approval, and after the examination and approval by 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 bureau;
(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. Article 9 An institution applying for securities and futures investment consulting qualification shall submit the following documents:
(1) An application form uniformly printed by the China Securities Regulatory Commission;
(2) Articles of association;
(3) Business license of enterprise as a legal person;
(four) the list of senior managers and personnel engaged in securities and futures investment consulting business and their academic qualifications, work experience and qualification certificates;
(five) the way to carry out investment consulting business and internal management rules and regulations;
(6) Certificate of use of the business premises, mailing address, telephone number and fax number of the institution;
(7) A capital verification report issued by a certified public accountant;
(eight) other documents required by the China Securities Regulatory Commission. Article 10 In case of any change in the mode of operation, place of business, principal responsible person and business personnel with securities and futures investment consulting qualifications, a change report shall be submitted to the local CSRC within five working days from the date of change, and the change procedures shall be handled. Article 11 A securities and futures investment consulting institution shall apply to the local securities regulatory bureau for annual inspection from 1 month 1 day to April 30th every year. The following documents shall be submitted when handling the annual inspection:
(a) the annual inspection application report;
(2) Annual business report;
(3) Financial and accounting statements audited by certified public accountants.
The local securities regulatory bureau shall, within 20 working days from the date of receiving the documents listed in the preceding paragraph, put forward audit opinions on the annual inspection application; Approved by the audit, reported to the China Securities Regulatory Commission for approval.
Securities and futures investment consulting institutions shall not continue to engage in securities and futures investment consulting business if they fail to submit the annual inspection report within the time limit or fail to pass the annual inspection after examination.