in financial industry，The number of licenses held by an enterprise often directly reflects its overall strength。With the rapid development of Internet finance，A group of powerful companies have accelerated the layout of financial licenses，Under the trend of mixed business operations, the demand for various licenses is becoming increasingly strong。At present, the financial licenses that need to be approved in my country mainly include banks、Insurance、trust、Brokerage firm、financial leasing、futures、fund、Fund subsidiaries、Fund sales、Third-party payment license、small loan、12 types of pawns。in，What are the application conditions for a Shenzhen fund sales license? Approved by whom? The following is summarized one by one。
Shenzhen fund sales license application conditions and registered capital
Apply for a Shenzhen fund sales license，The approval authority is a commercial bank (including foreign-funded corporate banks in China).，Same below)、Securities company、Futures company、insurance agency、Securities investment consulting agency、独立基金销售机构以及中国Securities Regulatory Commission认定的其他机构。The above-mentioned institutions are engaged in fund sales business，You should register with the China Securities Regulatory Commission dispatched office in the place of industrial and commercial registration and obtain the corresponding qualifications.，The legal basis is the "Measures for the Administration of Sales of Securities Investment Funds"。
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，And it complies with the relevant requirements of the China Securities Regulatory Commission for fund sales business information management platforms.，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；
- Developed a complete fund settlement process，Fund management complies with the relevant requirements of the China Securities Regulatory Commission on fund sales and settlement fund management.；
- 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，Comply with the relevant requirements of the China Securities Regulatory Commission on the internal control of fund sales institutions；
- Have an anti-money laundering internal control system that meets legal and regulatory requirements；
- Other conditions specified by the China Securities Regulatory Commission。
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,，Enterprises can also consider applying for Hong Kong’s No. 9 license。So，Hong Kong license number 9What kind of business can be run?
Business scope and advantages of Hong Kong No. 9 license
9License plates can be providedAsset 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 financial license application：Application conditions、Process and Supervision PointsType 9 regulated business qualification license issued under the Securities and Futures Ordinance，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。
Licensing requirements and personnel qualifications for Hong Kong No. 9 license
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，Requires 2 types of personnel：Responsible officers and licensed representatives。
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)；
- Possess professional qualifications (e.g. Chartered Financial Analyst、Certified Financial Planner, etc.)；
- Have at least 3 years of relevant industry experience in the past 6 years (recommended for public equity fund companies) and more than 2 years of management experience；
- Passed papers 1 and 6 of the Hong Kong Securities and Futures Practitioners Qualification Examination。
Licensed Representative Requirements：
- Passed the Hong Kong Certificate of Education Examination (Chinese/English + Mathematics) or equivalent (high school public examination such as University Entrance Examination)；
- Have at least 5 years of experience in related industries in the past 8 years (some private equity companies are enough) and more than 2 years of management experience；
- Passed Hong Kong Securities and Futures Practitioners Qualification Examination 1。
overall，9The value of the license plate is extremely high。For companies planning to expand into overseas financial markets，9Number plate is undoubtedly the first choice。
About Hong Kong Xintong
GXT-HKComposed of professional teams from mainland China and Hong Kong，Focus on providing global company registration、Financial license application、Bank account opening、One-stop cross-border services such as tax financial planning and compliance consulting，Core covers Hong Kong MSO license、Hong Kong Insurance Brokers and Hong Kong Money Lenders Licenses、US MSB license、Hong Kong 149 license、9license plate，Helping enterprises to go overseas efficiently and compliantly，Steady global layout。
