Securities investment consulting business refers to the activities of institutions and their consultants who have obtained relevant qualifications issued by the regulatory authorities to provide securities investors or customers with relevant information, analysis, prediction or suggestions on securities investment, and directly or indirectly collect service fees.

Securities investment consulting business qualification approval includes the following six contents:

I. Administrative licensing matters

Preliminary examination of securities investment consulting business qualification

Second, the audit basis

Interim Measures for the Administration of Securities and Futures Investment Consulting (Zheng Jian Fa [1997] No.96), Detailed Rules for the Implementation of the Interim Measures for the Administration of Securities and Futures Investment Consulting of Securities Investment Consulting Institutions (Zheng Jian Fa [2004] 1998) and Notice on Securities Investment Consulting Institutions' Application for Consulting Qualification and Securities Investment Consulting Qualification (Zheng Jian Zi No.273)

Third, conditions

Legal persons in People's Republic of China (PRC) and People's Republic of China (PRC); The registered capital of the company is more than 1 10,000; No foreign shareholders' rights and interests; There are more than five employees who have obtained the qualification certificate of securities investment consulting or the letter issued by China Securities Association that meets the application conditions of the qualification certificate of securities investment consulting, and at least 65,438+0 of their senior managers have obtained the qualification certificate of securities investment consulting or meet the application conditions of the qualification certificate of securities investment consulting; Having a fixed business place and communication and other information transmission facilities suitable for the business; Having articles of association; Having a sound internal management system; Other conditions required by China Securities Regulatory Commission.

Four. procedure

Applicants apply to our bureau, and our bureau is responsible for the preliminary examination of materials and decides whether to accept them. After the completion of the audit, the preliminary examination opinions, all application materials and the Work Order for Administrative Licensing shall be submitted to the Institutional Department of the CSRC.

Verb (abbreviation of verb) application materials and requirements

The applicant shall submit the following materials:

A report on the application for securities investment consulting business; Application form for qualification of securities investment consulting institution; Business license of enterprise legal person (copy); Articles of association of the company's internal management system; The business management system and business plan for the company to carry out investment consulting business; Certificate of lease and use of business premises or certificate of ownership of property rights (copy); A capital verification report issued by a certified public accountant; A certificate issued by the applicant institution as to whether there is any relationship between the shareholders of the institution, whether there is any illegal act, and whether the credit standing is good; Business report of the applicant since its establishment; Five publicly published research reports representing the business level of the applicant institution; The audit report of the last year issued by an accounting firm with securities-related business qualifications; A description of whether the applicant has business cooperation and business dealings with the securities company; A certificate issued by China Securities Industry Association that there are more than 5 persons with securities investment consulting qualifications; Other materials required by China Securities Regulatory Commission. Requirements for submitting application materials:

The application materials are in quadruplicate (at least one original), one of which is kept by our bureau, and the copy must be A4 paper and stamped with the official seal of the applicant. The audit report issued by an accountant shall be accompanied by a copy of the qualification certificate of the securities-related business of the accounting firm and a copy of the qualification certificate of the certified public accountant. Institutions or personnel who intend to apply for practicing qualification in the last two years must publish 5 research reports in regular magazines or newspapers. The types of articles can be broadened to include financial research reports in addition to securities research reports. In the latter case, unpublished securities research reports should be provided as supplementary materials.