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 efficient technical facilities for fund sales, subscription and redemption, and meets the relevant requirements of the China Securities Regulatory Commission on the information management platform for fund sales business. The technical system of fund sales business has been networked with the corresponding technical systems of fund managers and China Securities Depository and Clearing Corporation, and the test results meet the national standards.
5. A perfect fund settlement process has been established, and the fund management meets the relevant requirements of 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. Developed a sound fund sales business management system, such as business process, professional ethics of sales personnel and emergency measures, which met the relevant requirements of China Securities Regulatory Commission on the internal control of fund sales institutions.
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.
1. What are the requirements for individual registered fund sales companies?
1. The investor is a natural person.
2. It has a legal enterprise name.
3. The amount of investment declared by investors.
4. Have a fixed production and business operation place and necessary production and business operation conditions.
5. Necessary staff.
Second, the registration process of individual registered fund sales companies?
1. After determining the company type, name, registered capital, shareholders and contribution ratio, you can submit an application for name verification at the industrial and commercial bureau site or online.
2. After approval, confirm the address information, senior management information and business scope, and submit the pre-application online. After the online pre-trial is passed, submit the application materials to the industrial and commercial bureau according to the appointment time.
3. Bring the Notice of Approval of Establishment Registration and the original ID card of the handler to the Industrial and Commercial Bureau to obtain the original and duplicate of the business license.
4. Go to the engraving point designated by the Public Security Bureau with the business license: company official seal, financial seal, contract seal, legal representative seal and invoice seal; At this point, a company registration is completed.