Securities investment consulting business qualification approval includes the following six contents:
I. Administrative Commitment
Preliminary examination of securities investment consulting business qualification
Second, the audit basis
Interim Measures for the Administration of Securities and Futures Investment Consulting (Zheng Jian Fa [1997] No.96), Detailed Rules for the Implementation of the Interim Measures for the Administration of Securities and Futures Investment Consulting (Zheng Jian Fa [1998] 14), Notice on the Requirements for Consulting Qualifications of Securities Investment Consulting Institutions, and Securities Investment Consulting Qualifications
Third, the requirements
Legal persons in People's Republic of China (PRC) and People's Republic of China (PRC); The registered capital of the company is more than 1 10,000; No foreign shareholders' rights and interests; There are more than five employees who have obtained the qualification certificate of securities investment consulting or the letter issued by China Securities Industry Association that meets the requirements of the qualification certificate of securities investment consulting, and at most 1 of its senior managers have obtained the qualification certificate of securities industry or met the requirements of the qualification certificate of securities investment consulting; Having a fixed business place and communication and other information transmission equipment suitable for the business; Having articles of association; Having a sound internal management system; Other requirements of China Securities Regulatory Commission on the threshold.
Fourth, the order
The requester makes a request to our bureau, and our bureau will make a preliminary examination of the information, and whether the resolution can be accepted. After the completion of the audit, all the materials of the preliminary examination opinions and requirements and the List of Administrative Commitment Occupancy shall be submitted to the Institutional Department of the CSRC.
Verb (short for verb) requests information and threshold.
The applicant shall submit the following materials: a report on the application for securities investment consulting business; Application form for qualification of securities investment consulting institution; Business license of enterprise legal person (copy); Articles of association of the company's internal management system; The business management system and business plan for the company to carry out investment consulting business; Certificate of lease and use of business premises or certificate of ownership of property rights (copy); A capital verification report issued by a certified public accountant; A certificate issued by the applicant institution on whether there is any relationship between the shareholders of the institution, whether there are laws and regulations, and whether the credit standing is good; Business report of the applicant since its establishment; Five publicly published research reports, representing the business level of the applicant; The audit report of the last year issued by an accounting firm with securities-related business qualifications; A description of whether the requesting institution has business cooperation and business dealings with the securities company; A certificate issued by China Securities Industry Association that there are more than 5 persons with securities investment consulting qualifications; Other materials submitted by China Securities Regulatory Commission. ?
Threshold for submission of application materials: the application materials are in quadruplicate (at most one is the original), one of which is kept in our bureau, and the copy must be A4 paper and stamped with the official seal of the applicant. The audit report issued by an accountant shall be accompanied by a copy of the qualification certificate of the securities-related business of the accounting firm and a copy of the qualification certificate of the certified public accountant. Institutions or personnel who intend to apply for practicing qualification in the last two years must publish 5 research reports in regular magazines or newspapers. The types of articles can be broadened to include financial research reports in addition to securities research reports. In the latter case, unpublished securities research reports should be provided as supplementary information. This is about how to apply for the qualification of securities investment consulting company. The answer. 890