1. The minimum registered capital is RMB 30 million;
2. Directors, supervisors and senior managers are qualified for the post, and employees are qualified for futures business;
3. Having articles of association that comply with laws and administrative regulations;
4. The major shareholders and actual controllers continue to make profits, have a good reputation, and have no record of major violations of laws and regulations within three years;
5. Having qualified business premises and business facilities;
6. Having a sound risk management and internal control system;
7. Other conditions stipulated by the State Council futures regulatory agency.
Extended data:
Access threshold
Asset management business
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.
Baidu encyclopedia-futures company