First of all, the relevant conditions for establishing a comprehensive securities company must be met: (1) According to the relevant provisions of the Securities Law, the establishment of a comprehensive securities company must meet the following conditions: the minimum registered capital is RMB 500 million; The main management personnel and business personnel must have the qualification of securities business; Having a fixed business place and qualified trading facilities; It has a sound management system and standardized separate management system for self-operated business and brokerage business. (2) According to the Measures for the Administration of Securities Companies, the establishment of a comprehensive securities company should meet the following conditions in addition to the above conditions stipulated in the Securities Law: a standardized business separation management system to ensure the effective separation of various businesses in personnel, institutions, information and accounts; There shall be no less than 50 employees with corresponding securities qualification, and there shall be corresponding accounting, legal and computer professionals; Having a computer information system and a business data reporting system that meet the requirements of the China Securities Regulatory Commission; Other conditions stipulated by the China Securities Regulatory Commission. At the same time, it must meet the following requirements: the registered capital is not less than RMB 500 million; There shall be no less than 10 employees with the qualification of investment banking securities.
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