(1) Engaged in securities business, securities investment consulting, trust asset management or other financial asset management;
(2) Its registered capital is not less than 300 million yuan;
(3) Good business performance and good asset quality;
(four) continuous operation for more than three complete fiscal years, sound corporate governance and perfect internal control system;
(5) It has not been subjected to administrative punishment or criminal punishment for illegal acts in the last three years;
(6) There are no behaviors that damage the interests of customers, such as misappropriating customers' assets;
(7) It is not being investigated by the regulatory authorities due to violations of laws and regulations, or is in the process of rectification;
(eight) has a good social reputation, in the last three years in the tax, industry and commerce, financial supervision, self-discipline management, commercial banks and other administrative organs and other institutions without bad records.
Securities investment fund management company (fund company) refers to an enterprise legal person established in China with the approval of China Securities Regulatory Commission and engaged in securities investment fund management business. The board of directors of the company is the highest authority of the fund company.
According to the provisions of the Securities Investment Fund Law, the establishment of a fund management company shall meet the following conditions:
1. It has articles of association that comply with the provisions of the Securities Investment Fund Law and the Company Law;
2. The registered capital shall not be less than 1 100 million yuan, and must be paid-in monetary capital;
3. The major shareholders engaged in financial business or managing financial institutions have good performance, good financial status and social reputation, and their assets have reached the standards set by the State Council, and they have no illegal records in the last three years;
4. The number of personnel who have obtained the qualification for fund practice has reached a quorum;
5. Directors, supervisors and senior managers have corresponding qualifications;
6. Having business premises, safety precautions and other facilities related to the fund management business that meet the requirements;
7. Good internal governance structure, perfect internal audit monitoring system and risk control system;
8. Other conditions as prescribed by laws and administrative regulations and approved by the State Council Securities Regulatory Authority.
legal ground
Measures for the supervision and administration of managers of publicly offered securities investment funds
Article 6 To establish a fund management company, the following conditions shall be met:
(1) The shareholders and actual controllers comply with the provisions of the Securities Investment Fund Law and these Measures;
(2) Having articles of association that comply with the Securities Investment Fund Law, the Company Law and the provisions of the China Securities Regulatory Commission.
(3) The registered capital is not less than RMB 654.38+0 billion, and the shareholders must make their contributions in local currency from legal sources, and the overseas shareholders should make their contributions in freely convertible currencies;
(4) Having directors, supervisors and senior managers who meet the requirements of laws, administrative regulations and the provisions of the China Securities Regulatory Commission, as well as responsible personnel in research, investment, operation, sales, compliance, etc. In principle, there are not less than 30 persons who have obtained the qualification for fund practice;
(5) Having a company name, business premises, safety precautions and other business-related facilities that meet the requirements;
(6) Setting up organizations and posts with reasonable division of labor and clear responsibilities;
(7) Having an internal management system that meets the requirements of the China Securities Regulatory Commission;
(8) Other conditions approved by the State Council and stipulated by the China Securities Regulatory Commission.