A commercial bank shall meet the following conditions:
(1) The conditions stipulated in Article 7 of the Measures for the Supervision and Administration of Sales Organizations of Public Offering of Securities Investment Funds.
(2) Having a department in charge of fund sales.
(3) Financial risk monitoring and other regulatory indicators meet the provisions of the national financial supervision and regulation department;
(4) The competent department of fund sales shall not be less than 65,438+0/2 of the number of employees in the department, and the person in charge of the department has obtained the qualification of fund business, engaged in fund business for more than 2 years or worked in financial institutions for more than 5 years; The person in charge of fund sales business of the branch has obtained the qualification of fund practice;
(5) Other conditions stipulated by the China Securities Regulatory Commission;
To apply for the qualification of registered fund sales business, the following conditions shall be met
(a) the financial situation is good and the operation is standardized;
(2) It has business premises and safety precautions suitable for the fund sales business, and the information management platform for handling the fund sales business complies with the provisions of the China Securities Regulatory Commission;
(3) It has a sound and efficient business management and risk management system, the anti-money laundering and anti-terrorist financing of non-resident financial accounts and the due diligence of tax-related information meet the requirements of Law III, and the fund sales settlement fund management, investor suitability management and internal control system meet the requirements of China Securities Regulatory Commission.
(4) There shall be no less than 20 persons who have obtained the qualification of fund practice;
(5) It has not received criminal punishment or major administrative punishment in the last three years; No major administrative supervision measures have been taken for similar business in recent 1 year; Not in the rectification period due to major violations of laws and regulations, or being investigated by the regulatory authorities because of suspected major violations of laws and regulations; There are no major changes or major lawsuits or arbitrations that have or may affect the normal operation of the company.
(6) Other conditions stipulated by the China Securities Regulatory Commission.