1. The customer's transaction settlement funds have been deposited by a third party according to regulations.
2. Standardized account opening and management, complete and true customer information; The standardization of accounts was completed on schedule, meeting the relevant regulatory requirements; In the last two years, there have been no irregularities such as opening unqualified accounts or opening unqualified accounts, but the company found them in time and corrected them on its own, and has seriously investigated the responsibilities of relevant personnel without causing significant consequences, and has taken the initiative to report to the regulatory authorities. It has been more than half a year since the date of reporting.
3. It has a sound corporate governance structure and internal control mechanism, and its compliance management system and risk control indicator monitoring system meet regulatory requirements.
4. The information technology system meets the relevant specifications and regulatory requirements; The system runs safely, stably and reliably, and there have been no technical failures and major technical accidents in recent two years.
5. It has a sound business management system and has formulated clear business rules and operating procedures.
6. An effective investor education mechanism has been established, and a customer management and service system centered on "know your customer" and "appropriate service" has been established.
7. In the last two years, the net capital and various risk control indicators have continuously reached the prescribed standards.
8. The company has not been subject to administrative punishment or criminal punishment for major violations of laws and regulations in the last three years; The company has no securities account opening agency business, the addition and acquisition of business outlets, the relocation and transfer of business outlets, etc. , restricted and has not been dissolved or major restructuring and rectification matters have not been completed; There are no cases under investigation suspected of violating laws and regulations.
9. The average net income of the trading agent business of the securities business department in the previous year was not lower than the average level of the securities companies in the company's jurisdiction.
10. The recent 1 classification evaluation of securities companies is above Grade C (including Grade C).
1 1. Other conditions stipulated by China Securities Regulatory Commission.
(2) A securities company applying for the establishment of a national securities business department (hereinafter referred to as national establishment) shall meet the following requirements in addition to items (6) to (8) of the first paragraph:
1. It has strong management ability, and the net income of the company's agent buying and selling securities in the previous year was in the top 20 in the industry, and the average net income of the securities business department was not lower than the industry average; Or the average net income of the securities business department is in the top three in the industry.
2. The centralized management of trading, clearing, accounting, monitoring and other systems has been realized, and the centralized management system of electronic files has been established.
3. The latest 1 classification evaluation of securities companies is above Grade B (including Grade B).
4. Other conditions stipulated by China Securities Regulatory Commission.
(3) The securities business department to be established shall meet the following conditions:
1. It has the necessary staff, the proposed person has the qualification of securities practice, and the proposed person in charge has obtained the qualification of the head of a branch of a securities company;
2. Have a fixed business place and abide by various safety management regulations;
3. There are technical facilities that meet the business requirements, and the information technology system meets the relevant specifications and regulatory requirements;
4. It has perfect business rules and operational procedures, and established working mechanisms for investor education, customer management and service;
5. Other conditions stipulated by China Securities Regulatory Commission.
(4) A securities company shall fully evaluate the necessity and feasibility of establishing a securities business department according to the demand of the securities market and the company's business development strategy, combined with the network layout, human resources, business management level and risk control ability, and give priority to establishing a new securities business department in areas where there are no securities business outlets or securities business outlets are relatively insufficient.
(5) When a securities company applies for the establishment of a securities business department, it shall submit a written application to the China Securities Regulatory Commission, and send a copy to the securities regulatory bureau where the company is domiciled. The China Securities Regulatory Commission shall examine the application matters, and solicit the regulatory opinions from the securities regulatory bureau of the company's domicile on whether the securities company meets the conditions for applying for the establishment of a securities business department.
There are no more than 5 securities companies that meet the requirements and can set up offices throughout the country 1 time; There shall be no more than two securities companies that meet the requirements and can set up offices in the region after 1 application. If a securities company does not meet the requirements for establishing a securities business department, it shall not apply for establishing a securities business department. A securities company may not approve the establishment of a new securities business department before the approved securities business department obtains the business license of the securities operating institution.