Measures for the administration of sales of securities investment funds: fund sales on commission Chapter II Fund sales Article 7 Fund sales shall be handled by the fund manager; The fund manager may entrust other institutions that have obtained the qualification of fund consignment business to handle it on his behalf. An institution that has not obtained the qualification of fund agency business shall not accept the entrustment of the fund manager to handle the fund sales business on its behalf. Article 8 Commercial banks, securities companies, securities investment consulting institutions, professional fund sales institutions and other institutions stipulated by the China Securities Regulatory Commission may apply to the China Securities Regulatory Commission for the qualification of fund consignment business. Article 9 A commercial bank applying for the qualification of fund agency business shall meet the following conditions: (1) The capital adequacy ratio shall meet the relevant provisions of the banking regulatory institution; (two) there is a department responsible for the fund consignment business. (3) It is in good financial condition, has a stable business standard, and has not been subjected to administrative punishment or criminal punishment for illegal acts in the last three years; (4) It has a sound corporate governance structure, internal control and risk management system, and has been effectively implemented. (5) Having a business place, security facilities and other facilities suitable for the fund consignment business; (6) It has safe and efficient technical facilities for fund sales, subscription and redemption, and the technical system of fund consignment business has been tested online and connected with the corresponding technical systems of fund managers, fund custodians and fund registration institutions, and the test results meet the standards set by the state; (7) Formulating a sound management system for fund consignment business, such as business process, professional ethics of sales personnel and emergency measures; (8) The department in charge of fund agency business of the company and its main branches has at least one-half of its employees, and the department manager has obtained the qualification of fund agency business, is familiar with fund agency business, and has been engaged in fund business for more than two years or securities finance business for more than five years; (9) Other conditions stipulated by the China Securities Regulatory Commission. Article 10 A securities company applying for the qualification of fund agency business shall meet the following conditions in addition to the provisions in Items (2) to (9) of Article 9 of these Measures: (1) Financial risk supervision indicators such as net capital meet the relevant provisions of the China Securities Regulatory Commission; (2) There has been no misappropriation of clients' assets or other acts that harm clients' interests in the last two years; (3) It is not being investigated by the regulatory authorities due to illegal acts, or it is being rectified; (4) There are no major changes or other major events such as litigation and arbitration that have affected or may affect the normal operation of the company. Article 11 To apply for the qualification of fund agency business, a securities investment consulting institution shall meet the following conditions in addition to the conditions stipulated in Items (2) to (9) of Article 9 and Items (3) and (4) of Article 10 of these Measures: (1) The registered capital shall not be less than 20 million yuan, and it must be paid-in monetary capital; (2) The senior management personnel have obtained the qualification of fund practice, are familiar with the fund consignment business, and have been engaged in fund business for more than two years or securities finance business for more than five years; (3) Having been engaged in securities investment consulting business for more than 3 complete fiscal years. (4) Failing to engage in securities trading as an agent for investors in the last three years. Article 12 To apply for the qualification of fund agency business, a professional fund sales institution shall meet the following conditions in addition to the conditions stipulated in Items (3) to (7) of Article 9, Items (3) to (4) of Article 10 and Items (1) to (2) of Article 11 of these Measures: (1) Having a qualified institution name, organization and operation mode. (2) The main investor is a legal person established according to law, has been operating continuously for more than three complete fiscal years, has a registered capital of not less than 30 million yuan, is in good financial condition, and has a sound business standard, and has not been subjected to administrative punishment or criminal punishment for illegal acts in the last three years; (3) Not less than 30 employees and not less than half of them have obtained the qualification for fund practice; (4) Other conditions stipulated by the China Securities Regulatory Commission. Thirteenth institutions applying for the qualification of fund agency business shall submit application materials in accordance with the provisions of the China Securities Regulatory Commission. During the application period, if the matters involved in the application materials change significantly, the applicant shall submit the updated materials to the China Securities Regulatory Commission within five working days from the date of the change. Article 14 The China Securities Regulatory Commission shall, in accordance with the provisions of the Administrative Licensing Law, accept the application for the qualification of fund consignment business, examine it and make a decision. Article 15 The China Securities Regulatory Commission may, according to the principle of prudent supervision, organize an expert review meeting to review the application for qualification of fund consignment business. Article 16 Where it is necessary to go through the registration of industrial and commercial change according to law, the applicant shall go through the registration formalities with the administrative department for industry and commerce in accordance with the relevant provisions after receiving the approval documents.
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