Securities consulting license is subject to approval by the China securities regulatory commission, in 2014, China began to stop security advisory licenses for examination and approval of individual, which is after 2014, the number of securities advisory licences has been fixed, the company has the qualification of securities regulatory commission approved license plates, the national one, a total of only 84, including the institute of securities companies and securities firms, finance terminal services, investment consultancy, etc.
Licence value:
(1) limited license stock
(2) the regulation is tightened and the approval situation is temporary
Without a securities investment consulting license, one may not engage in the related business of securities investment consulting.Market expectations are running high that compliance with licensing requirements will be tightened.However, at the same time, the entry threshold is faced with no new license, stock liquidity is small situation, which also doomed to this license "expensive".
Business scope:
Securities investment consulting, investment consulting, investment management, enterprise bankruptcy liquidation consulting, service, fund sales, enterprise management, financial consulting services, information services, enterprise development planning consulting.
Application requirements:
(1) an institution engaged in securities investment consulting business shall have at least five full-time personnel who have obtained the securities investment consulting qualification;Institutions engaged in securities investment consulting business at the same time shall have more than 10 full-time personnel who have obtained the qualification of securities investment consulting;At least one of its senior management personnel has obtained the qualification of securities investment consulting;
(2) having a registered capital of at least RMB 1 million yuan;
(3) having fixed business premises and communication and other information transmission facilities suitable for business operations;
(4) it has articles of association;
(5) having a sound internal management system;
(6) other requirements as required by the CSRC.