First, the fund sales license qualification
It is a legally established limited liability company, partnership enterprise or other forms that meet the requirements of China Securities Regulatory Commission. The name, organization and business scope of the institution that meets the requirements. The registered capital or contribution is not less than 20 million yuan, and it must be paid-in monetary capital. Shareholders of a limited liability company or partners of a partnership enterprise meet the provisions of the Measures. There are no major changes that have affected or may affect the normal operation of the institution, or other major events such as litigation and arbitration. Senior management personnel have obtained the qualification of fund practice, are familiar with fund sales business, have been engaged in fund business for more than 2 years or have worked in other financial related institutions for more than 5 years. At least 10 people have obtained the qualification of fund practice.
Second, how to apply for a fund sales license
An independent fund sales institution may specialize in the sales of funds and other financial products, and its application for fund sales business qualification shall meet the following conditions:
(1) A limited liability company or partnership established according to law or other forms conforming to the provisions of the China Securities Regulatory Commission;
(2) It has a business scope that meets the requirements;
(3) Its registered capital or contribution is not less than 20 million yuan, and it must be paid-in monetary capital;
(4) Shareholders of a limited liability company or partners of a partnership enterprise meet the provisions of these Measures;
(5) There are no major changes that have affected or may affect the normal operation of this institution, or other major events such as litigation and arbitration;
(6) The senior management personnel have obtained the qualification of fund practice, are familiar with the fund sales business, and have been engaged in fund business for more than 2 years or worked in other financial related institutions for more than 5 years;
(7) No less than 65,438+00 people have obtained the qualification for fund practice.
Article 16 The shareholders of an independent fund sales organization established in the form of a limited liability company may be enterprise legal persons or natural persons. An enterprise as a legal person participating in an independent fund sales institution shall meet the following conditions:
(a) continuous operation for more than three complete fiscal years, good financial status, standardized and stable operation;
(2) It has not received criminal punishment in the last three years;
(3) It has not been subject to administrative punishment by administrative departments such as financial supervision, industry supervision, industry and commerce, taxation, etc. In the last three years;
(4) It has no bad records in institutions such as self-regulatory management and commercial banks in the last three years;
(5) It is not being investigated by the regulatory authorities or being rectified due to illegal acts. A natural person participating in an independent fund sales organization shall meet the following conditions:
(a) engaged in securities, funds or other financial business for more than 65,438+00 years, or managed by the securities and fund business department for more than 5 years, or served as a senior manager of the securities and fund industry for more than 3 years;
(2) It has not received criminal punishment in the last three years;
(3) It has not been subject to administrative punishment by administrative departments such as financial supervision, industry supervision, industry and commerce, taxation, etc. In the last three years;
(4) Having no bad records in self-regulatory management, commercial banks and other institutions;
(5) There is no large amount of overdue debt;
(six) no other major bad credit records in the last three years.
Third, the difference between fund sales license and public offering license.
Fund sales license: paid-in registered capital of more than 20 million yuan and other conditions for the qualification of fund sales license.
Public offering license: paid-in capital or paid-in capital is not less than1000000 yuan. In the last three years, the scale of securities asset management has not been less than 2 billion yuan per year. With more than 3 years experience in securities asset management, the securities products managed in the last 3 years have achieved good results. In the last three years, it has a good operating condition and a sound financial position; Perfect corporate governance, sound internal control and effective risk management. Integrity and compliance, no record of major violations of laws and regulations in the regulatory authorities in the last three years, no case investigation by the regulatory authorities due to violations of laws and regulations, or in the process of rectification. Member of fund industry association. Other conditions stipulated by the China Securities Regulatory Commission.
The above is the relevant information compiled by Bian Xiao of Pacific Auto Network. To sum up, we can understand that the issuance of private equity funds is aimed at a specific group of people, and the requirements of private equity funds for buyers are also very strict, and the annual income must reach more than 500,000. If you have any other questions, please consult online.
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