Mai Ziwen

Securities investment, venture capital, equity investment fund manager registration agency fund sales license application: application agency and application conditions
Fund sales license application agency | Fund sales license conditions | Fund sales license application | Fund sales license What is
Shenzhen Tengbo International Business Co., Ltd.
For details, please consult Tengbo International consultant: Mr. Mai
:
Office address: Building B, Vanke Enterprise Mansion, Qianhai, Nanshan, Shenzhen
Conditions and procedures for applying for a fund sales license:
Since its establishment ten years ago, Tengbo International Business Co., Ltd. has focused on providing enterprises with free trade zone consultation, application for various financial licenses, accounting and tax reporting, and business travel. Services include financial leasing company registration, commercial factoring company registration, Internet finance company registration, and small loan company licenses.
1. Definition and distinction:
A fund sales license is a license issued to enterprises or institutions engaged in the sale of fund products. In China, it mainly includes banks, funds, securities and other financial institutions, among which banks are the largest channel. , accounting for more than half.
In 2019, the central bank began to open fund license applications to third-party financial management institutions. That is to say, in addition to banks, funds and securities, third-party financial management companies that were originally engaged in the sale of trust products can also engage in fund sales. To be more precise, Said to be fund sales agencies, these third-party financial institutions take the form of cooperation with fund companies. So far, three institutions have obtained independent fund sales licenses.
2. Qualification restrictions for obtaining a fund sales license
Qualification conditions for independent fund sales agencies to apply for fund sales
(1) Be a limited liability company or partnership established in accordance with the law or comply with the provisions of the China Securities Regulatory Commission Other forms
(2) Have an organizational name, organizational structure and business scope that meet the regulations
(3) The registered capital or capital contribution must not be less than 10,000 yuan, and must be paid-in monetary capital
(4) The shareholders of a limited liability company or partners of a partnership comply with the provisions of these Measures
(5) There are no major changes that have affected or may affect the normal operation of the institution, or other major matters such as litigation or arbitration
(6) Senior managers have obtained fund professional qualifications, are familiar with fund sales business, and have more than 10 years of work experience in fund business or more than 10 years of work experience in other financial-related institutions
(7) There are many people who have obtained fund professional qualifications Yu Ren
3. Relevant regulations for applying for a fund sales license
The "Securities Investment Fund Sales Management Measures" (CSRC Order No. 1, hereinafter referred to as the "Sales Management Measures") shall come into effect on the day of the year. All fund management companies, fund sales agencies and fund sales-related institutions shall strictly carry out fund sales activities in accordance with the Securities Investment Fund Law, the Sales Management Measures and other relevant regulations.
The relevant issues regarding the implementation of the "Sales Management Measures" are hereby stipulated as follows:
Institutions that meet the conditions stipulated in the "Sales Management Measures" and plan to apply for fund sales business qualifications shall fill in the "Securities Investment Fund Sales Business" Qualification Application Form" and submit fund sales business qualification application materials to the China Securities Regulatory Commission.
For applications for fund sales business qualifications that have not been approved before these regulations take effect, the applicant institution shall supplement and correct the materials in accordance with the "Sales Management Measures" and these regulations, and the China Securities Regulatory Commission shall conduct review and approval in accordance with the "Sales Management Measures" and these regulations.
An independent fund sales agency that has obtained fund sales business qualifications shall apply to the industrial and commercial administration authority for a name change after receiving the approval document, and the name should have the word "fund sales" in it.
. Fund sales agencies shall update the "Fund Sales Agency Basic Information Form" within months after the end of each year. The initial filing time is year and month.
If an independent fund sales agency undergoes a major change in matters stipulated in Article 20 of the "Sales Management Measures", it shall fill in the "Registration Form for Major Changes in Independent Fund Sales Institutions" and submit it within the time specified in the "Sales Management Measures". be filed.
The term "senior managers of independent fund sales agencies" as mentioned in the "Sales Management Measures" refers to the chairman, general manager, deputy general manager of an independent fund sales agency established in the form of a limited liability company, as well as those who actually perform the above duties. Other persons, or the executive partners of independent fund sales agencies established in the form of partnerships.
Shenzhen Tengbo International Business Co., Ltd.
For details, please consult Tengbo International consultant: Mr. Mai
:
Office address: Building B, Vanke Enterprise Mansion, Qianhai, Nanshan, Shenzhen