An institution applying for securities and futures investment consulting qualification 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.

Q: How can a company apply for the qualification in the CSRC after its establishment?

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.

Q: What is the permitted business scope? Such as consulting, agency, intermediary, etc.

The business scope should be limited to: investment consulting services; Intermediaries must cooperate with futures companies; Agency should be banned.

Article 24 Securities and futures investment consulting institutions and their investment consultants shall not engage in the following activities:

(1) buying and selling securities and futures on behalf of investors;

(2) Promise investors the income from securities and futures investment;

(3) Agreeing with investors to share investment gains or losses;

(4) buying and selling stocks and securities and futures with the nature and function of stocks for oneself;

(five) using consulting services to collude with others to manipulate the market or conduct insider trading;

(six) other securities and futures fraud prohibited by laws, regulations and rules.