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Entry threshold for futures companies
Not all futures companies can get the qualification of asset management business, which has a threshold.

There are three hard indicators for the entry threshold of asset management business of futures companies: the net capital of futures companies is more than 500 million yuan; Classified supervision rating BB or above; A futures company shall have at least 1 senior executives and 5 employees with investment consulting business qualifications.

This threshold is lower than that of the previous scheme. Originally, it was stipulated that futures companies with classified ratings above Class A were eligible.

According to the classification results of futures companies in 20 1 1, there are 20 futures companies above Grade A, among which the AA futures companies with the highest level are all three traditional futures companies: China International, Zhejiang Yongan and COFCO. There are 49 futures companies above BB. Among BB and BBB futures companies, there are many brokers such as China Merchants, China Everbright, Guo Xin and Zhengdong.

Many emerging securities firms are futures companies that entered the futures industry late, and their classification and rating have not yet reached Class A standards. Lowering the threshold of classification rating is mainly to' take care of' brokerage futures companies.

However, the brokerage futures company has stamina and better growth momentum, and with the support of many securities business departments of the parent company, the customer resources are more advantageous.

There are at least 16 futures companies that meet the requirements of "net capital of 500 million, classified rating BB". In addition to the three AA futures companies, Nanhua, Hongye and Xinhu in traditional futures companies, Guotai Junan, Shen Yin Wanguo, Yinhe, Haitong, Zhengdong, Zheshang, Zheng Lu, Guangfa and Huatai Great Wall in brokerage companies, and CSI Futures, which will soon increase its capital to 654.38+05 billion yuan, all meet these two indicators.

"At least 1 senior management and 5 employees are qualified for investment consulting business" is also a mandatory requirement for futures companies to apply for futures investment consulting business. Up to now, three batches of 46 futures companies have obtained innovative business qualifications. Model application for change of registered capital (or share capital) of a futures company

China Securities Regulatory Commission:

The shareholders' meeting of the Company decided to change the registered capital (or share capital) on XX. The registered capital of the Company is XX million yuan, and the amount and proportion of shareholders and contributions are: (list shareholders, contributions and proportions in descending order). Our company intends to change the registered capital to XX million yuan, and the amount and proportion of shareholders and contributions are: (list shareholders and contributions in descending order).

After the completion of this change, XX Company, the shareholder of the Company, and XX Company are related persons, and the specific relationship is (specify the relationship), and the relationship between people acting in concert is (specify the relationship between people acting in concert).

Whether our company provides financial support for shareholders (or equity transferees) who intend to increase their capital contribution.

Our company confirms that there are no major events (or reports about these events) that may affect the completeness and accuracy of the application materials from the date of production to the formal submission of the application materials. Before completing the company's change registration, the company will fulfill its reporting obligations on matters related to the application materials in accordance with the regulations of the China Securities Regulatory Commission, and bear legal responsibilities.

Our company promises that the application materials are true, accurate and complete, and will go through relevant procedures in strict accordance with laws, regulations and the provisions of the China Securities Regulatory Commission.

Please review it.

Attachment: Application Form for Change of Futures Company

XX Futures Company (official seal)

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