Answer: A. The access conditions for fund sales agencies: (1) Have a sound governance structure, complete internal control and risk management systems, and implement them effectively.
(2) The financial status is good and the operation is standardized and stable.
(3) Have business premises, safety precautions and other facilities suitable for fund sales business.
(4) It has safe and efficient technical facilities for handling fund sales, subscriptions and redemptions, and complies with the relevant requirements of the China Securities Regulatory Commission on the fund sales business information management platform. The technical system of the fund sales business has been integrated with the fund manager,
The corresponding technical systems of China Securities Depository and Clearing Corporation have been tested online, and the test results are in line with national standards.
(5) A complete fund clearing process has been formulated, and fund management complies with the relevant requirements of the China Securities Regulatory Commission for fund sales settlement fund management.
(6) There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.
(7) It has formulated a complete fund sales business management system such as business processes, sales personnel's professional ethics, emergency response measures, etc., and complies with the relevant requirements of the China Securities Regulatory Commission for the internal control of fund sales institutions.
(8) Have an anti-money laundering internal control system that meets the requirements of laws and regulations.
(9) Other conditions specified by the China Securities Regulatory Commission.