What are the requirements for the promoters of financial advisers?
(1) On the qualification management of financial consultants.
This can't be tested. It's not a question of whether you ar

What are the requirements for the promoters of financial advisers?

(1) On the qualification management of financial consultants.

This can't be tested. It's not a question of whether you are qualified or not, but that this exam just stays in the rules, has not been organized in practice, and you can't take it if you want to … mainly because the financial advisor sponsor system has not been implemented.

(2) How did you get the qualification of financial advisor sponsor? Do you need an exam?

An accounting firm can't sign a financial advisor sponsor. What's that called?

(3) The difference between financial advisor and financial advisor sponsor. What can they do respectively?

Unrelated finance mainly talks about how to use funds and how to make accounts.

(4) Is it not good to replace the sponsor who continuously supervises the financial adviser?

Sponsor consultants can be regarded as specific coordinators of financial institutions and need certain qualifications and qualifications. Just changing the sponsors of financial advisers can be regarded as the adjustment of human resources within a financial institution. The reasons for the adjustment may be varied, but it cannot be said that it is good or bad for specific projects. Another possibility is that the project party offered to change, because the organizer is not good at dealing with affairs or communication. Welcome to communicate!

⑤ Registration conditions for financial advisor sponsors

Article 8 (4) of Chapter II "Business License" of the Measures for the Administration of Financial Advisory Business of Mergers and Acquisitions of Listed Companies stipulates:

Asset appraisal institutions, accounting firms, law firms or related personnel engaged in financial consulting business of mergers and acquisitions of listed companies shall set up special institutions separately.

Article 10 A promoter of a financial consultant shall meet the following conditions:

(1) Having the qualification of securities practice.

(2) Having investment banking experience as stipulated by the China Securities Regulatory Commission;

(three) to participate in the financial adviser sponsored by the China Securities Regulatory Commission, and the results are qualified;

(four) the institution agrees to recommend it as the sponsor of its financial adviser;

(five) there is no large amount of outstanding debts due;

(six) no bad credit records in the last 24 months;

(seven) in the last 24 months, it has not been punished by the industry self-discipline organization for violating the industry norms;

(eight) in the last 36 months, he has not been punished for illegal practice;

(9) Other conditions stipulated by the China Securities Regulatory Commission.

To sum up, it is feasible.

⑥ What are sponsors and sponsor representatives? What is the sponsor of a financial adviser?

The sponsor institution is a securities company that undertakes the recommendation obligation for listed companies to apply for listing, and undertakes the guarantee responsibility for the information disclosure and rights of listed companies for a period of time after listing.

The sponsor representative refers to the intermediary between the listed reserve enterprise and the CSRC, which is equivalent to the representative of this enterprise and recommends the listing of the enterprise to the CSRC as a guarantee.

Financial advisers refer to professionals who have professional financial knowledge and provide investment and financial consulting and planning services to customers.

Qualification of sponsor representative

1, with more than 2 years of investment banking experience, and at least served as the project leader of at least one IPO, new shares or convertible bonds issued by listed companies at home and abroad since 1 year. A project can only have one project leader.

2. Have more than years of experience in investment banking, and have participated in the lead underwriting projects of at least two listed companies' domestic and overseas initial public offerings of stocks and new shares or convertible bonds. Only two participants are determined for a project, including one project leader.

⑦ What are sponsors and sponsor representatives? What is a financial advisor sponsor?

The sponsor institution is a securities company that undertakes the recommendation obligation of listed companies to apply for listing according to law and undertakes the guarantee responsibility for the information disclosure behavior of listed companies within a period of time after listing. In short, it is a securities company that undertakes sponsorship business according to law.

Financial advisers refer to professionals who have professional financial knowledge and provide investment and financial consulting and planning services to customers. Financial advisers have different job responsibilities and service contents in different companies and industries. Financial advisers should be diligent and conscientious, and abide by industry norms and professional ethics.

(7) Extended reading of financial advisor sponsor conditions:

A sponsor shall perform the following duties within the effective sponsorship period:

(1) Confirm that the listed enterprises meet the requirements of this Exchange, and put forward opinions to the board of directors on whether the listed enterprises continue to meet the requirements after listing;

(2) When applying for the initial listing of shares, a listed enterprise shall assist the listed enterprise to handle the listing of shares, confirm that all the application documents for listing transactions conform to these Rules, and submit a listing recommendation letter to this Exchange;

(3) Guide and urge the directors, supervisors and senior managers of listed companies to understand and abide by relevant laws and regulations and the relevant provisions of this Exchange, and promptly and accurately respond to the inquiries of listed companies and their directors, supervisors and senior managers about the rules of this Exchange.

Work contents of the sponsor representative:

(a) responsible for the development and implementation of securities issuance and underwriting projects;

(2) Communicate with the competent departments of relevant institutions of the project (including China Securities Regulatory Commission, Exchange, Securities Regulatory Bureau and Securities Industry Association) to ensure the smooth progress of the project;

(3) Develop and maintain customer relationships.

What qualifications do financial advisory institutions and sponsors of listed companies need?

Article 6 A securities company engaged in the financial consultancy business of merger, acquisition and reorganization of listed companies shall meet the following conditions:

(1) The company's net capital complies with the provisions of the China Securities Regulatory Commission;

(2) Having a sound internal control mechanism and management system, and strictly implementing the risk control and internal isolation system;

(3) Establish a perfect due diligence system with good project risk assessment and core mechanism;

(4) The company's financial accounting information is true, accurate and complete;

(5) The controlling shareholder and actual controller of the company have a good reputation and have no record of major violations of laws and regulations in the last three years;

(6) There shall be not less than 5 financial advisers.

(seven) other conditions stipulated by the China Securities Regulatory Commission.

Article 7 A securities investment consulting institution shall meet the following conditions when engaging in the financial consulting business of mergers and acquisitions of listed companies:

(1) Having obtained the qualification of securities investment consulting business approved by the China Securities Regulatory Commission;

(2) The paid-in registered capital and net assets are not less than 5 million yuan;

(3) Having a sound internal control mechanism and management system, and strictly implementing the risk control and internal isolation system;

(4) The company's financial accounting information is true, accurate and complete;

(5) The controlling shareholder and actual controller have not changed within 1 year before the company applied for the qualification to engage in the financial consulting business of mergers and acquisitions of listed companies, and the company has a good reputation and no record of major violations of laws and regulations in the last three years;

(6) Having more than two years' experience in financial consulting business of company merger and reorganization, and the annual income of financial consulting business in the last two years is not less than 6,543,800 yuan;

(7) There shall be no less than 20 persons with securities business qualifications, including no less than 65,438+00 persons with more than 3 years of securities business experience and no less than 5 financial advisers;

(eight) other conditions stipulated by the China Securities Regulatory Commission.

Article 8 Other financial consulting institutions engaged in the financial consulting business of mergers and acquisitions of listed companies shall meet the following conditions in addition to items (2) to (4) and (7) of the preceding article:

(1) Having more than three years' experience in financial consulting business of company merger and reorganization, and the annual income of financial consulting business in the last three years is not less than 6,543.8+0,000 yuan;

(2) Directors and senior managers should be honest and trustworthy, have good conduct, be familiar with securities laws and administrative regulations, have more than 3 years of experience in the securities market or 5 years of experience in finance, and have the management ability required to perform their duties;

(3) The controlling shareholder and actual controller have a good reputation and have no record of major violations of laws and regulations in the last three years;

(4) Other conditions stipulated by the China Securities Regulatory Commission.

Article 9 Under any of the following circumstances, securities companies, securities investment consulting institutions and other financial consulting institutions may not serve as financial consultants:

(1) Having a bad credit record in the last 24 months;

(two) in the last 24 months, it has been punished by the industry self-regulatory organization for violating the industry norms;

(3) Being punished for illegal business operation or being investigated for suspected illegal business operation in the last 36 months.