The necessary condition is the establishment of a financial institution, which must pass the requirements of the Securities Law. 1 Articles of Association in compliance with the law. The major shareholder has sustainable profitability and good reputation, and its net assets are not less than 200 million. 3. The registered capital complies with the provisions of the Securities Law. 4. Directors, supervisors and senior managers are qualified, and employees are qualified. 5. Perfect management and internal control system. Having qualified business premises and business facilities. With a registered capital of 50 million yuan, a securities company can be established to engage in one or more of brokerage business, consulting business, trading business and financial consulting business. 654.38 billion yuan can be engaged in underwriting and sponsorship, self-management and asset management. 500 million can engage in any two or more of underwriting and sponsorship, self-management and asset management.
Branch condition:
Only subsidiaries and branches can be established.
Information of subsidiaries: 1 recent 12 months, all risk control indicators meet the requirements, and the net capital in the latest year is not less than1200 million.
2. Strong profitability.
3 improve the corporate governance structure
Other requirements of China Securities Regulatory Commission.
Branch condition:
1 Improve the corporate governance structure
2. The branch company should adapt to the company's business scale, management ability, capital strength and human resources.
There have been no major violations in the past two years.
Having working capital and office space suitable for the business scope of establishing branches.
5. The person-in-charge to be appointed has the qualification of the person-in-charge of a branch of a securities company.
Finally finished, hope to adopt!