在金融行业，企业持有的牌照数量往往直接反映其综合实力。随着互联网金融的快速发展，一批实力雄厚的企业纷纷加速金融牌照布局，混业经营趋势下对各类牌照的需求愈发强烈。目前我国需要审批的金融牌照主要包括银行、Insurance、trust、Brokerage firm、financial leasing、futures、fund、Fund subsidiaries、Fund sales、Third-party payment license、small loan、12 types of pawns。in，ShenzhenFund sales license的申办条件有哪些？由谁审批？以下逐一梳理。
深圳基金销售牌照申请条件与注册资本
申请深圳基金销售牌照，审批机关为商业银行（含在华外资法人银行，Same below)、Securities company、Futures company、insurance agency、Securities investment consulting agency、独立基金销售机构以及中国证监会认定的其他机构。上述机构从事基金销售业务，应向工商注册登记所在地的中国证监会派出机构进行注册并取得相应资格，法律依据为《证券投资资金销售管理办法》。
commercial bank、Securities company、Futures company、insurance agency、Securities investment consulting agency、Independent fund sales agencies and other institutions recognized by the China Securities Regulatory Commission apply for registration of fund sales business qualifications，The following conditions should be met：
- Have a sound governance structure、Complete internal control and risk management system，and be effectively implemented；
- Financial condition is good，Standard and stable operation；
- Have business premises suitable for fund sales business、Security precautions and other facilities；
- There is safety、Efficiently handle fund offerings、Technical facilities for subscription and redemption operations，且符合中国证监会对基金销售业务信息管理平台的有关要求，The technical system of the fund sales business has been integrated with the fund manager、The corresponding technical systems of China Securities Depository and Clearing Corporation have been tested online.，The test results comply with national standards；
- 制定了完善的资金清算流程，资金管理符合中国证监会对基金销售结算资金管理的有关要求；
- There is a method system for evaluating the risk tolerance of fund investors and the risk level of fund products.；
- Developed a sound business process、Sales Personnel Professional Conduct、Emergency response measures and other fund sales business management systems，符合中国证监会对基金销售机构内部控制的有关要求；
- 有符合法律法规要求的反洗钱内部控制制度；
- 中国证监会规定的其他条件。
Registered capital requirements
Registered capital or capital contribution shall not be less than RMB 20 million，and must be paid-in monetary capital。
In the context of relatively tight resources in mainland China,，企业也可以考虑申办香港的9license plate。So，Hong Kong license number 9能够经营什么样的业务呢？
香港9号牌照的业务范围与优势
9号牌照可以提供Asset management services，Manage securities or futures contract investment portfolios for clients on a discretionary basis，and manage the fund on a discretionary basis。9The license plate isHong Kong Securities and Futures Commission根据《证券及期货条例》发布的第9类受规管业务资格牌照，i.e. asset management license。Hold this license，It means obtaining a "pass" in the international capital market，Not only can you directly participate in overseas investment,，It can also manage and utilize funds from overseas investors。
香港9号牌照的发牌要求与人员资质
Licensing mainly considers the company's financial status and solvency、Qualifications and experience of company personnel，and whether the company has the ability to conduct regulated activities。The company must demonstrate that it has an appropriate business structure、Good internal control systems and qualified personnel，To ensure proper risk management and compliance with relevant rules and regulations。
Personnel，需配备2类人员：负责人员及持牌代表。
Responsible personnel requirements：
- Hold a university degree in a specified field (e.g. accounting、Business Administration、economy、Finance and Law) or other degree (and pass the subject examination in at least two specified areas)；
- 具备专业资格（例如特许财务分析师、Certified Financial Planner, etc.)；
- 在过去6年内最少有3年从事相关行业（建议公募基金公司）2年以上管理经验；
- 香港证券及期货从业员资格考试卷一及六合格。
Licensed Representative Requirements：
- 于香港会考中/英+数学考试合格或同等学历（高中公开考试例如大学入门考试）；
- 在过去8年内最少有5年从事相关行业（一些私募基金公司即可）2年以上管理经验；
- 香港证券及期货从业员资格考试一合格。
overall，9The value of the license plate is extremely high。对于计划布局海外金融市场的企业，9Number plate is undoubtedly the first choice。
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