According to the requirements of the Administrative Measures, the conditions for handling fund sales licenses are relatively high, and there are high requirements for the qualification requirements of enterprises and the application system of enterprises. According to the application situation in different regions, the audit requirements of various regulatory authorities are basically the same, but there will be some minor differences. Then, taking Shenzhen as an example, applying for a fund sales license should meet the following conditions:

Application conditions:

1. The registered capital of the company is more than 20 million yuan, which has been paid in place.

2. To participate in an independent fund sales organization, an enterprise as a legal person shall meet the following conditions: a. It has been in continuous operation for more than three complete fiscal years, and its financial position is good and its operation is standardized and sound; (2) It has not received criminal punishment in the last three years; C it has not been punished by financial supervision, industry supervision, industry and commerce, taxation and other administrative departments. In the last three years; D, in the last three years, there is no bad record in self-discipline management, commercial banks and other institutions; (5) It is not being investigated by the regulatory authorities or being rectified due to illegal acts.

3. To participate in an independent fund sales organization, a natural person shall meet the following conditions: a. He has been engaged in securities, funds or other financial business for more than 65,438+00 years, or has worked in the securities and fund business department for more than 5 years or served as a senior manager in the securities and fund industry for more than 3 years; (2) It has not received criminal punishment in the last three years; C. It has not been subject to administrative punishment by financial supervision, industry supervision, industry and commerce, taxation and other administrative departments. In the last three years; D, no bad records in self-discipline management, commercial banks and other institutions; E. There is no large amount of overdue debt; F no other major bad credit records in the last three years.

4. There is actual office space, the meeting room should be able to accommodate more than 10 people, and there is an independent computer room. Fund personnel will operate fund trading procedures, and the Securities Industry Association will watch the scene. 5. Two executives have been engaged in fund business for two years, or in other financial industries for more than five years, and there are ten fund sales professionals, including two executives. 6. Have a qualified fund sales platform.