(a) approved by the China Securities Regulatory Commission as a comprehensive securities company;
(2) The net capital is not less than 200 million yuan, which is in line with the provisions of the China Securities Regulatory Commission on various risk supervision indicators of comprehensive securities companies;
(3) The clients' asset management personnel have securities practice qualifications and have no record of bad behavior, and at least five of them have more than three years experience in securities self-management, asset management or securities investment fund management;
(4) It has a good corporate governance structure, a sound internal control and risk management system, and has been effectively implemented;
(5) It has not been subjected to administrative punishment or criminal punishment in the latest year;
(6) Other conditions stipulated by the China Securities Regulatory Commission.
Expand the new business developed by information securities institutions on the basis of traditional business. In foreign mature securities markets, investors are mostly willing to entrust professionals to manage their own property in order to obtain stable income.
Securities institutions manage assets entrusted by investors by setting up subsidiaries. Investors entrust their own funds to well-trained professionals for management, which avoids unnecessary risks that may be caused by lack of professional knowledge and investment experience, and also has a certain stabilizing effect on the development of the entire securities market.
Baidu Encyclopedia-Asset Management Business