1, qualified business premises, business facilities and information technology systems;
2. Having articles of association, shareholders and registered capital that meet the statutory requirements;
3. It has a sound risk management and internal control system;
4. Other conditions stipulated by laws, administrative regulations and the State Council Securities Regulatory Authority approved by the State Council.
legal ground
Article 1 18 of the Securities Law of People's Republic of China (PRC).
The establishment of a securities company shall meet the following conditions and be approved by the securities regulatory authority of the State Council:
(1) Having articles of association that comply with the provisions of laws and administrative regulations;
(2) The major shareholders and actual controllers of the company are in good financial condition, with good credit records, and have no record of major violations of laws and regulations in the last three years;
(3) Having the registered capital of the company that meets the requirements of this Law;
(4) Directors, supervisors, senior managers and employees meet the requirements as prescribed in this Law;
(5) Having a sound risk management and internal control system;
(6) Having qualified business premises, business facilities and information technology systems;
(seven) other conditions stipulated by laws and administrative regulations and approved by the the State Council securities regulatory authority.
Without the approval of the State Council securities regulatory authority, no unit or individual may engage in securities business activities in the name of a securities company.