Access conditions and responsibilities of fund sales institutions
I. Conditions for examination and approval of fund sales institutions
1. It has a sound governance structure, internal control and risk management system, and has been effectively implemented;
2. The financial situation is good, and the operation is standardized and stable;
3. Having business premises, safety precautions and other facilities suitable for the fund sales business;
4. It has safe and effective technical facilities for fund raising, subscription and redemption that meet the requirements of China Securities Regulatory Commission;
5. A perfect fund settlement process has been established, and the fund management meets the relevant requirements of the China Securities Regulatory Commission on 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. Formulated perfect management systems such as business process, professional ethics of sales staff and emergency measures;
8. Having an anti-money laundering internal control system that meets the requirements of laws and regulations;
9. Other conditions stipulated by China Securities Regulatory Commission.