What are the conditions for the establishment of a securities investment company?

Legal analysis: the conditions for setting up a securities investment company are: articles of association that comply with laws and administrative regulations; The major shareholders are profitable and have a good reputation. They have no record of major violations of laws and regulations in the last three years, and their net assets are not less than 200 million yuan; Having a registered capital that meets the requirements of this Law; Directors, supervisors and senior management personnel are qualified to hold posts, and employees are qualified to engage in securities business; It has a sound risk management and internal control system.

Legal basis: Article 120 of the Securities Law of People's Republic of China (PRC) has been approved by the securities regulatory authority of the State Council, and obtained the license to engage in securities business. A securities company may operate the following parts or

All securities businesses:

(1) Securities brokers.

(2) Securities investment consultation;

(3) Financial advisers related to securities trading and securities investment activities;

(4) Securities underwriting and sponsorship.

(5) Margin trading.

(6) Market transactions of securities.

(7) Securities are self-operated.

(8) Other securities businesses.

The the State Council securities regulatory authority shall, within three months from the date of accepting the application for the matters specified in the preceding paragraph, conduct an audit in accordance with legal conditions and procedures.

Review, make a decision on approval or disapproval, and notify the applicant; If it is not approved, it shall explain the reasons.

Securities companies engaged in securities asset management business shall abide by the provisions of People's Republic of China (PRC) Securities Investment Fund Law and other laws and administrative regulations.

Except for securities companies, no unit or individual may engage in securities underwriting, securities sponsorship, securities brokerage and securities margin trading.

Securities companies engaged in securities margin financing and securities lending business shall take measures to strictly prevent and control risks, and shall not lend funds or securities to customers in violation of regulations.