(a) engaged in securities brokerage business for 3 years, by the China Securities Association as an innovative pilot securities company;
(2) The company has perfect corporate governance and effective internal control, and can effectively identify, control and prevent business operation risks and internal management risks;
(3) The company, its directors, supervisors and senior management personnel have not been subjected to administrative punishment or criminal punishment for illegal business operations in the last two years, and there is no case that they are being investigated by the CSRC or being rectified for suspected violation of laws and regulations;
(4) It is in good financial condition, and its risk control indicators have continuously met the requirements in the last two years, and its net capital in the last six months is above1200 million yuan;
(5) The customer's assets are safe and complete, and the third-party depository plan for customer transaction settlement funds has been approved by the CSRC, and the implementation progress has been clearly arranged;
(six) to complete the centralized management of transactions, liquidation, customer accounts and risk monitoring, and to mark and monitor the irregular accounts left over from history;
(7) It has formulated a feasible implementation plan and internal management system for the pilot margin trading business, and has professionals, technical systems, funds and securities required for the pilot margin trading business.
Legal basis: Article 6 of the Measures for the Administration of Pilot Margin Trading of Securities Companies. A securities company applying for a pilot margin trading business shall meet the following conditions: (1) It has been engaged in securities brokerage business for three years and has been evaluated as an innovative pilot securities company by China Securities Association; (2) The company has perfect corporate governance and effective internal control, and can effectively identify, control and prevent business operation risks and internal management risks; (3) The company, its directors, supervisors and senior management personnel have not been subjected to administrative punishment or criminal punishment for illegal business operations in the last two years, and there is no case that they are being investigated by the CSRC or being rectified for suspected violation of laws and regulations; (4) It is in good financial condition, and its risk control indicators have continuously met the requirements in the last two years, and its net capital in the last six months is above1200 million yuan; (5) The customer's assets are safe and complete, and the third-party depository plan for customer transaction settlement funds has been approved by the CSRC, and the implementation progress has been clearly arranged; (six) to complete the centralized management of transactions, liquidation, customer accounts and risk monitoring, and to mark and monitor the irregular accounts left over from history; (7) It has formulated a feasible implementation plan and internal management system for the pilot margin trading business, and has professionals, technical systems, funds and securities required for the pilot margin trading business.