1. The institution engaged in securities investment consulting business has more than five full-time personnel with securities investment consulting qualifications; At the same time, the institutions engaged in securities and futures investment consulting business have more than ten full-time personnel who have obtained securities investment consulting qualifications; At least one senior manager has obtained the qualification of securities investment consulting.
2. The registered capital is more than 654.38 million yuan.
3. Having a fixed business place and communication and other information transmission facilities suitable for the business.
4. There are articles of association.
5. Have a sound internal management system.
6. Other conditions that meet the requirements of China Securities Regulatory Commission. Securities investment consulting institutions can be divided into franchising and part-time operation. Institutions engaged in securities business and other consulting business may apply to run securities investment consulting business concurrently if they meet the above conditions.
Legal basis: Interim Measures for the Administration of Securities and Futures Investment Consulting.
Article 6 An institution applying for securities and futures investment consulting qualification shall meet the following conditions:
(a) institutions engaged in securities or futures investment consulting business, there are more than five full-time personnel who have obtained securities and futures investment consulting qualifications; At the same time, the institutions engaged in securities and futures investment consulting business have more than ten full-time personnel who have obtained securities and futures investment consulting qualifications; At least one of the senior managers has obtained the qualification of securities and futures investment consulting;
(2) The registered capital is more than RMB1000000;
(3) Having a fixed business place and communication and other information transmission facilities suitable for the business;
(4) Having articles of association;
(5) Having a sound internal management system;
(6) Having other conditions required by the China Securities Regulatory Commission.
Article 7 Securities operating institutions and futures brokerage institutions applying for engaging in securities and futures investment consulting business outside the scope of their own institutions shall meet the conditions stipulated in Article 6 of these Measures. Other institutions engaged in consulting business may apply for concurrently engaging in securities and futures investment consulting business if they meet the conditions stipulated in Article 6 of these Measures.