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Order of the China Securities Regulatory Commission
(No. 91)
The Measures for the Sale of Securities Investment Funds, as revised, were adopted at the 28th chairman's executive meeting of the China Securities Regulatory Commission on February 17, 2013, are hereby issued, and shall come into force on June 1, 2013.
Chairman of the China Securities Regulatory Commission: Guo Shuqing
March 15, 2013
Measures for the Sale of Securities Investment Funds
| | 中国证券监督管理委员会令
（第91号）
《证券投资基金销售管理办法》已由中国证券监督管理委员会第28次主席办公会议于2013年2月17日修订通过，现公布修订后的《证券投资基金销售管理办法》，自2013年6月1日起施行。
中国证券监督管理委员会主席：郭树清
2013年3月15日
证券投资基金销售管理办法
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Chapter I General Provisions
| | 第一章 总 则
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Article 1 To regulate the sale of publicly offered securities investment funds, and enhance the healthy development of the securities investment fund market, these Measures are made pursuant to the Securities Investment Fund Law, the Securities Law and other relevant laws and regulations.
| | 第一条 为了规范公开募集证券投资基金（以下简称基金）的销售活动，促进证券投资基金市场健康发展，根据《证券投资基金法》、《证券法》及其他有关法律法规，制定本办法。
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Article 2 For the purpose of these Measures, the term “sale of securities investment funds (funds)” includes such activities as the advertising and promotion of funds, issue and sale of fund shares, and handling of the purchase and redemption of fund shares by fund sales agencies.
“Fund sales agencies” refers to fund managers, as well as other agencies registered with the China Securities Regulatory Commission (“CSRC”) or the local offices tof these Measures.
Other fund service providers shall be governed by these Measures regarding their involvement in the sale of funds. Other fund service providers include those that provide payment and settlement services, fund sales settlement capital supervision services, fund share registration services and other sales-related services for fund sales agencies.
| | 第二条 本办法所称基金销售，包括基金销售机构宣传推介基金，发售基金份额，办理基金份额申购、赎回等活动。
基金销售机构是指基金管理人以及经中国证券监督管理委员会（以下简称中国证监会）及其派出机构注册的其他机构。
其他基金服务机构就其参与基金销售业务的环节适用本办法。其他基金服务机构包括为基金销售机构提供支付结算服务、基金销售结算资金监督、份额登记等与基金销售业务相关服务的机构。
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Article 3 Fund sales agencies engaged in the sale of funds shall observe laws, regulations and the CSRC provisions, and may not damage any national interests, public interests or the legitimate rights and interests of fund investors.
| | 第三条 基金销售机构从事基金销售活动，应当遵守法律法规和中国证监会的规定，不得损害国家利益、社会公共利益和基金投资人的合法权益。
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Article 4 Fund sales agencies engaged in the sale of funds shall stick to fund contracts and fund sales agreements, follow the principles of openness, fairness and justice, be honest and diligent, scrupulously abide by the professional ethics and the code of conducts.
| | 第四条 基金销售机构从事基金销售活动，应当遵守基金合同、基金销售协议的约定，遵循公开、公平、公正的原则，诚实守信，勤勉尽责，恪守职业道德和行为规范。
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Article 5 Fund sales settlement funds are funds used to settle the transactions of fund investors. Agencies involved in the opening, use or supervision of accounts exclusively used for fund sales settlement may not include fund sales settlement funds into their self-owned assets. No entity or individual may misappropriate fund sales settlement funds in any form. Where an agency becomes insolvent or is liquidated, the fund sales settlement funds are not its insolvent or liquidation property.
Fund sales settlement funds are funds gathered by fund sales agencies, fund sales payment and settlement institutions, fund share registration institutions and other agencies related to the sale of funds and allocated between the settlement accounts of fund investors and the custodial accounts of fund assets for the purpose of purchase (subscription), redemption, cash dividends and so on.
| | 第五条 基金销售结算资金是基金投资人的交易结算资金，涉及基金销售结算专用账户开立、使用、监督的机构不得将基金销售结算资金归入其自有财产。禁止任何单位或者个人以任何形式挪用基金销售结算资金。相关机构破产或者清算时，基金销售结算资金不属于其破产财产或者清算财产。
基金销售结算资金是指由基金销售机构、基金销售支付结算机构或者基金份额登记机构等基金销售相关机构归集的，在基金投资人结算账户与基金财产托管账户之间划转的基金申购（认购）、赎回、现金分红等资金。
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Article 6 The CSRC and the local offices tof these Measures shall oversee and regulate fund sales activities pursuant to laws, regulations and these Measures.
| | 第六条 中国证监会及其派出机构依照法律法规和本办法的规定，对基金销售活动实施监督管理。
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Article 7 The Asset Management Association of China (“AMAC”) shall, according to laws, regulations and self-disciplinary rules, conduct self-discipline management of fund sales activities and set eligibility requirements for fund salespersons.
Fund sales agencies and fund sales service providers may accede to the AMAC to accept the self-disciplinary management tof these Measures.
| | 第七条 中国证券投资基金业协会（以下简称基金业协会）依据法律法规和自律规则，对基金销售活动进行自律管理，并对基金销售人员进行资格管理。
基金销售机构及基金销售服务机构可以加入基金业协会，接受行业协会的自律管理。
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Chapter II Fund Sales Agencies
| | 第二章 基金销售机构
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Article 8 Fund managers may handle the sale of funds they have raised. Commercial banks (including foreign-funded corporate banks in China, hereinafter the same), securities companies, futures companies, insurance institutions, securities investment advisory agencies, independent fund sales agencies and other agencies approved by the CSRC to engage in fund sales activities may apply to the local offices of the CSRC for registration and obtain the corresponding qualifications.
| | 第八条 基金管理人可以办理其募集的基金产品的销售业务。商业银行（含在华外资法人银行，下同）、证券公司、期货公司、保险机构、证券投资咨询机构、独立基金销售机构以及中国证监会认定的其他机构从事基金销售业务的，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。
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Article 9 To apply for a fund sales qualification, a commercial bank, securities company, futures company, insurance institution, securities investment advisory agency, independent fund sales agency or any other agency approved by the CSRC shall:
| | 第九条 商业银行、证券公司、期货公司、保险机构、证券投资咨询机构、独立基金销售机构以及中国证监会认定的其他机构申请注册基金销售业务资格，应当具备下列条件：
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1. Have a sound governance structure and sound internal control and risk management rules which have been effectively carried out;
| | （一）具有健全的治理结构、完善的内部控制和风险管理制度，并得到有效执行；
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2. Have a good financial status and steadily operate in compliance with regulations;
| | （二）财务状况良好，运作规范稳定；
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3. Have a business premise, safety facilities and other facilities required by the fund sales business;
| | （三）有与基金销售业务相适应的营业场所、安全防范设施和其他设施；
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4. Have safe and efficient technical establishments for the issue, purchase and redemption of funds which shall also meet the CSRC requirements for fund sales information management platforms, have technical systems for the fund sales business for which interconnection tests have been made with the fund manager and the China Securities Depository and Clearing Corporation, the results of which meet the standards prescribed by the state;
| | （四）有安全、高效的办理基金发售、申购和赎回等业务的技术设施，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，基金销售业务的技术系统已与基金管理人、中国证券登记结算公司相应的技术系统进行了联网测试，测试结果符合国家规定的标准；
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5. Have a sound capital clearing flow, and meet the fund sales settlement funds management requirements of the CSRC;
| | （五）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；
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6. Have approaches and systems to assess the risk tolerance of fund investors and the risk level of fund products;
| | （六）有评价基金投资人风险承受能力和基金产品风险等级的方法体系；
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7. Have a sound business flow, code of ethics for salespersons, emergency response measures and other fund sales management rules, and conform to the internal control requirements of the CSRC for fund sales agencies;
| | （七）制定了完善的业务流程、销售人员执业操守、应急处理措施等基金销售业务管理制度，符合中国证监会对基金销售机构内部控制的有关要求；
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8. Have internal anti-money laundering control rules that conform to laws and regulations; and
| | （八）有符合法律法规要求的反洗钱内部控制制度；
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9. Meet other conditions as set forth by the CSRC.
| | （九）中国证监会规定的其他条件。
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Article 10 To apply for a fund sales qualification, a commercial bank shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十条 商业银行申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its capital adequacy ratio conforms to the relevant provisions of the banking regulatory authority of the State Council;
| | （二）资本充足率符合国务院银行业监督管理机构的有关规定；
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3. It has received any major administrative punishment or any criminal punishment in the last three years;
| | （三）最近3年内没有受到重大行政处罚或者刑事处罚；
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4. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the qualification for practicing in the fund sector, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （四）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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5. For a state-owned commercial bank, a joint-stock commercial bank or a postal savings bank, the number of persons qualified for practicing in the fund sector is not less than 30; for a urban commercial bank, a rural commercial bank or a foreign-funded corporate bank in China, the number of persons qualified for practicing in the fund sector is not less than 20.
| | （五）国有商业银行、股份制商业银行以及邮政储蓄银行等取得基金从业资格人员不少于30人；城市商业银行、农村商业银行、在华外资法人银行等取得基金从业资格人员不少于20人。
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Article 11 To apply for a fund sales qualification, a securities company shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十一条 证券公司申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its net capital and other financial risk monitoring indicators conform to the relevant provisions of the CSRC;
| | （二）净资本等财务风险监控指标符合中国证监会的有关规定；
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3. It has no record of misappropriating clients' assets or any other conduct that jeopardized clients' interests in the last three years;
| | （三）最近3年没有挪用客户资产等损害客户利益的行为；
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4. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations, and has not received any major administrative or any criminal punishment in the last three years;
| | （四）没有因违法违规行为正在被监管机构调查或者正处于整改期间，最近3年内没有受到重大行政处罚或者刑事处罚；
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5. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;; and
| | （五）没有发生已经影响或者可能影响公司正常运作的重大变更事项，或者诉讼、仲裁等其他重大事项；
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6. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the practicing qualification, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （六）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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7. The number of persons qualified for practicing in the fund sector is not less than 30.
| | （七）取得基金从业资格的人员不少于30人。
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Article 12 To apply for a fund sales qualification, a futures company shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十二条 期货公司申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its net capital and other financial risk monitoring indicators conform to the relevant provisions of the CSRC;
| | （二）净资本等财务风险监控指标符合中国证监会的有关规定；
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3. It has no record of misappropriating clients' assets or any other conduct that jeopardized clients' interests in the last three years;
| | （三）最近3年没有挪用客户保证金等损害客户利益的行为；
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4. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations, and has not received any major administrative or any criminal punishment in the last three years;
| | （四）没有因违法违规行为正在被监管机构调查或者正处于整改期间，最近3年内没有受到重大行政处罚或者刑事处罚；
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5. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;; and
| | （五）没有发生已经影响或者可能影响公司正常运作的重大变更事项，或者诉讼、仲裁等其他重大事项；
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6. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the practicing qualification, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （六）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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7. The number of persons qualified for practicing in the fund sector is not less than 20.
| | （七）取得基金从业资格的人员不少于20人。
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Article 13 Insurance institutions are insurance companies, insurance brokers companies and insurance agency companies established within the territory of the People's Republic of China upon the approval of the China Insurance Regulatory Commission.
To apply for a fund sales qualification, an insurance company shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十三条 保险机构是指在中华人民共和国境内经中国保险监督管理委员会批准设立的保险公司、保险经纪公司和保险代理公司。
保险公司申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its registered capital is not less than 500 million yuan;
| | （二）注册资本不低于5亿元人民币；
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3. Its solvency adequacy ratio conforms to the relevant provisions of the insurance regulatory authority of the State Council;
| | （三）偿付能力充足率符合国务院保险业监督管理机构的有关规定；
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4. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations, and has not received any major administrative or any criminal punishment in the last three years;
| | （四）没有因违法违规行为正在被监管机构调查或者正处于整改期间，最近3年内没有受到重大行政处罚或者刑事处罚；
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5. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;;
| | （五）没有发生已经影响或者可能影响公司正常运作的重大变更或者诉讼、仲裁等重大事项；
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6. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the practicing qualification, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （六）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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7. The number of persons qualified for practicing in the fund sector is not less than 30.
To apply for a fund sales qualification, an insurance brokers company or insurance agency company shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | （七）取得基金从业资格的人员不少于30人。
保险经纪公司和保险代理公司申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its registered capital is not less than 50 million yuan and must be paid-in monetary capital;
| | （二）注册资本不低于5000万元人民币，且必须为实缴货币资本；
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3. The senior managers in charge of the fund sales business have obtained the qualification for practicing in the fund sector, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years;
| | （三）公司负责基金销售业务的高级管理人员已取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；
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4. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations, and has not received any major administrative or any criminal punishment in the last three years;
| | （四）没有因违法违规行为正在被监管机构调查或者正处于整改期间，最近3年内没有受到重大行政处罚或者刑事处罚；
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5. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;;
| | （五）没有发生已经影响或者可能影响公司正常运作的重大变更或者诉讼、仲裁等重大事项；
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6. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the practicing qualification, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （六）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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7. The number of persons qualified for practicing in the fund sector is not less than 10.
| | （七）取得基金从业资格的人员不少于10人。
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Article 14 To apply for a fund sales qualification, a securities investment advisory institution shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十四条 证券投资咨询机构申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It has a special department in charge of the fund sales business;
| | （一）有专门负责基金销售业务的部门；
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2. Its registered capital or financial contribution is not less than 20 million yuan and must be paid-in monetary capital;
| | （二）注册资本不低于2000万元人民币，且必须为实缴货币资本；
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3. Its senior managers in charge of the fund sales business have obtained the qualification to practice in the fund sector, are familiar with the fund sales business, and have been engaged in the fund business for at least two years or served at other financial institutions for at least five years;
| | （三）公司负责基金销售业务的高级管理人员已取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；
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4. It has been continuously providing securities investment advisory services for at least three full accounting years;
| | （四）持续从事证券投资咨询业务3个以上完整会计年度；
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5. It has not traded securities on behalf of investors in the last three years;
| | （五）最近3年没有代理投资人从事证券买卖的行为；
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6. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations, and has not received any major administrative or any criminal punishment in the last three years;
| | （六）没有因违法违规行为正在被监管机构调查，或者正处于整改期间；最近3年内没有受到重大行政处罚或者刑事处罚；
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7. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;
| | （七）没有发生已经影响或者可能影响公司正常运作的重大变更事项，或者诉讼、仲裁等其他重大事项；
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8. The number of persons qualified for practicing in the fund sector in the department in charge of the fund sales business is not less than 1/2 of all employees of the department, the managers of the department have obtained the practicing qualification, are familiar with the fund sales business and have been engaged in the fund business for at least two years or served at any other financial institutions for at least five years; and persons in charge of the fund sales business of the principal branch offices have all obtained the qualification for practicing in the fund sector; and
| | （八）公司负责基金销售业务的部门取得基金从业资格的人员不低于该部门员工人数的1/2，负责基金销售业务的部门管理人员取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者其他金融相关机构5年以上的工作经历；公司主要分支机构基金销售业务负责人均已取得基金从业资格；
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9. The number of persons qualified for practicing in the fund sector is not less than 10.
| | （九）取得基金从业资格的人员不少于10人。
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Article 15 Independent fund sales agencies may be engaged exclusively in the sale of funds and other financial or wealth management products. To apply for a fund sales qualification, an independent fund sales agency shall also meet the following conditions in addition to those as set forth by Article 9 of these Measures:
| | 第十五条 独立基金销售机构可以专业从事基金及其他金融理财产品销售，其申请基金销售业务资格，除具备本办法第九条规定的条件外，还应当具备下列条件：
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1. It is legally formed as a limited liability company, partnership enterprise or in any other form as specified by the CSRC;
| | （一）为依法设立的有限责任公司、合伙企业或者符合中国证监会规定的其他形式；
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2. Its business scope conforms to the relevant provisions;
| | （二）有符合规定的经营范围；
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3. Its registered capital or financial contribution is not less than 20 million yuan and must be paid-in monetary capital;
| | （三）注册资本或者出资不低于2000万元人民币，且必须为实缴货币资本；
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4. Its shareholders or partners conform to these Measures;
| | （四）有限责任公司股东或者合伙企业合伙人符合本办法规定；
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5. It is not involved in any material change, litigation, arbitration or other significant matter that has affected or may affect its normal functioning;
| | （五）没有发生已经影响或者可能影响机构正常运作的重大变更事项，或者诉讼、仲裁等其他重大事项；
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6. Its senior managers have obtained the qualification for practicing in the fund sector, are familiar with the fund sales business, and have been engaged in the fund business for at least two years or served at other financial institutions for at least five years; and
| | （六）高级管理人员已取得基金从业资格，熟悉基金销售业务，并具备从事基金业务2年以上或者在其他金融相关机构5年以上的工作经历；
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7. The number of persons qualified for practicing in the fund sector is not less than 10.
| | （七）取得基金从业资格的人员不少于10人。
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Article 16 The shareholders of an independent fund sales agency established in the form of a limited liability company can be incorporated enterprises or natural persons.
To hold shares in an independent fund sales agency, an incorporated enterprise shall:
| | 第十六条 独立基金销售机构以有限责任公司形式设立的，其股东可以是企业法人或者自然人。
企业法人参股独立基金销售机构，应当具备以下条件：
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1. Have been continuously operating for at least three full accounting years, have a good financial condition and have been stably operating in compliance with laws and regulations;
| | （一）持续经营3个以上完整会计年度，财务状况良好，运作规范稳定；
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2. Have not received any criminal punishment in the last three years;
| | （二）最近3年没有受到刑事处罚；
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3. Have not received any administrative punishment imposed by the administrative department of financial regulation, industrial regulation, industry and commerce or taxation during the last three years;
| | （三）最近3年没有受到金融监管、行业监管、工商、税务等行政管理部门的行政处罚；
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4. Have no bad record in self-disciplinary management or at commercial banks in the last three years; and
| | （四）最近3年在自律管理、商业银行等机构无不良记录；
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5. Be not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations.
To hold shares in an independent fund sales agency, a natural person shall:
| | （五）没有因违法违规行为正在被监管机构调查或者正处于整改期间。
自然人参股独立基金销售机构，应当具备以下条件：
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1. Have been engaged in securities, fund or other financial business for 10 years or more, have been managing a securities or fund department for five years or more, or have served as a senior manager in the securities or fund sector for three years or more;
| | （一）有从事证券、基金或者其他金融业务10年以上或者证券、基金业务部门管理5年以上或者担任证券、基金行业高级管理人员3年以上的工作经历；
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2. Have not received any criminal punishment in the last three years;
| | （二）最近3年没有受到刑事处罚；
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3. Have not received any administrative punishment imposed by the administrative department of financial regulation, industrial regulation, industry and commerce or taxation during the last three years;
| | （三）最近3年没有受到金融监管、行业监管、工商、税务等行政管理部门的行政处罚；
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4. Have no bad record in self-disciplinary management or at commercial banks in the last three years;
| | （四）在自律管理、商业银行等机构无不良记录；
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5. Have no unpaid due debt of a relatively large amount; and
| | （五）无到期未清偿的数额较大的债务；
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6. Have no serious record of bad faith in the last three years.
| | （六）最近3年无其他重大不良诚信记录。
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Article 17 The partners of an independent fund sales agency established in form of a partnership enterprise shall:
| | 第十七条 独立基金销售机构以合伙企业形式设立的，其合伙人应当具备以下条件：
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1. Have been engaged in securities, fund or other financial business for 10 years or more, have been managing a securities or fund department for five years or more, or have served as a senior manager in the securities or fund sector for three years or more;
| | （一）有从事证券、基金或者其他金融业务10年以上或者证券、基金业务部门管理5年以上或者担任证券、基金行业高级管理人员3年以上的工作经历；
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2. Have not received any criminal punishment in the last three years;
| | （二）最近3年没有受到刑事处罚；
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3. Have not received any administrative punishment imposed by the administrative department of financial regulation, industrial regulation, industry and commerce or taxation during the last three years;
| | （三）最近3年没有受到金融监管、工商、税务等行政管理部门的行政处罚；
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4. Have no bad record in self-disciplinary management or at commercial banks in the last three years;
| | （四）在自律管理、商业银行等机构无不良记录；
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5. Have no unpaid due debt of a relatively large amount; and
| | （五）无到期未清偿的数额较大的债务；
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6. Have no serious record of bad faith in the last three years.
| | （六）最近3年无其他重大不良诚信记录。
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Article 18 Institutions applying for fund sales qualifications shall submit application materials according to the CSRC provisions.
If any material change occurs to a matter involved in the application materials during the application period, the applicant shall submit updated materials to the CSRC office at the place of its industrial and commercial registration within five workdays as of the day when the change occurs.
| | 第十八条 申请基金销售业务资格的机构，应当按照中国证监会的规定提交申请材料。
申请期间申请材料涉及的事项发生重大变化的，申请人应当自变化发生之日起5个工作日内向工商注册登记所在地的中国证监会派出机构提交更新材料。
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Article 19 The CSRC shall accept fund sales qualification registration applications, conduct examinations and make decisions of approval or disapproval pursuant to the Administrative License Law.
| | 第十九条 中国证监会派出机构依照《行政许可法》的规定，受理基金销售业务资格的注册申请，并进行审查，作出注册或不予注册的决定。
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Article 20 If it is required to register changes with the department for industry and commerce, an applicant shall do so as required after receiving the approval document.
| | 第二十条 依法必须办理工商变更登记的，申请人应当在收到批准文件后按照有关规定向工商行政管理机关办理变更登记手续。
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Article 21 To form a branch office, an independent fund sales agency shall meet the following conditions:
| | 第二十一条 独立基金销售机构申请设立分支机构的，应当具备下列条件：
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1. Its internal control is sound, its operations are stable, and it has a relatively strong continuous operating ability and is able to effectively control the risk of its branch offices;
| | （一）内部控制完善，经营稳定，有较强的持续经营能力，能有效控制分支机构风险；
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2. It has not received any administrative or criminal punishment in the last year;
| | （二）最近1年内没有受到行政处罚或者刑事处罚；
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3. It is not under investigation by the regulatory authority or during the period of rectification for any violation of laws and regulations;
| | （三）没有因违法违规行为正在被监管机构调查，或者正处于整改期间；
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4. The branch office to be formed has a business premise, business personnel, safety facilities and other facilities related to the business that conform to the relevant provisions;
| | （四）拟设立的分支机构有符合规定的办公场所、业务人员、安全防范设施和与业务有关的其他设施；
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5. The branch office to be formed has determined duties and sound management rules;
| | （五）拟设立的分支机构有明确的职责和完善的管理制度；
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6. The branch office to be formed has at least two persons with the qualification for practicing in the fund sector; and
| | （六）拟设立的分支机构取得基金从业资格的人员不少于2人；
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7. Other conditions as set forth by the CSRC.
Branch offices which have already been established before an independent fund sales agency applies for a fund sales qualification shall meet the above-mentioned conditions.
| | （七）中国证监会规定的其他条件。
独立基金销售机构申请基金销售业务资格时已经设立的分支机构，应当符合上述条件。
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Article 22 To set up a branch office, modify the scope of business, registered capital or financial contribution, or change shareholders, partners, or senior managers, an independent fund sales agency shall submit a plan to the CSRC office at the place of its industrial and commercial registration for recordation beforehand. If the independent fund sales agency has less than 10 employees with the qualification for practicing in the fund sector during the operation period or the branch office has less than two employees with the qualification for practicing in the fund sector during the operation period, it shall report the change to the CSRC office at the place of its industrial and commercial registration within five workdays and make adjustments to reach the personnel requirement within 30 workdays.
For independent fund sales agencies which have handled the recordation formalities under the preceding paragraph, the local CSRC offices will continuously exercise dynamic supervision over them under Articles 15 through 18 of these Measures. For agencies which fail to meet the eligibility requirements for fund sales agencies, the local CSRC offices shall order them to correct within a certain time limit and, if they fail to do so, revoke their fund sales qualifications.
| | 第二十二条 独立基金销售机构设立分支机构，变更经营范围、注册资本或者出资、股东或者合伙人、高级管理人员的，应当在变更前将变更方案报工商注册登记所在地中国证监会派出机构备案。独立基金销售机构经营期间取得基金从业资格的人员少于10人或者分支机构经营期间取得基金从业资格的人员少于2人的，应当于5个工作日内向工商注册登记所在地中国证监会派出机构报告，并于30个工作日内将人员调整至规定要求。
独立基金销售机构按照前款规定备案后，中国证监会派出机构根据本办法第十五条、第十六条、第十七条、第十八条的规定进行持续动态监管。对于不符合基金销售机构资质条件的机构责令限期改正，逾期未予改正的，取消基金销售业务资格。
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Article 23 Fund sales agencies with the qualification to operate the fund sales business shall submit their basic information to the CSRC for recordation, and update such information on a regular basis.
| | 第二十三条 取得基金销售业务资格的基金销售机构，应当将机构基本信息报中国证监会备案，并予以定期更新。
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Article 24 In the merger or split of fund sales agencies, the qualification for operating the fund sales business shall be managed under the following principles:
| | 第二十四条 基金销售机构合并分立，基金销售业务资格按下述原则管理：
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1. If a new company is formed upon merger, the new company shall apply to the CSRC office at the place of its industrial and commercial registration for a fund sales qualification pursuant to these Measures; before the registration of the new company is completed, the qualification of the merging party shall be partially terminated; if the new company fails to complete the registration formalities within six months, the qualification of the merging party shall be terminated;
| | （一）基金销售机构新设合并的，新公司应当根据本办法的规定向工商注册登记所在地的中国证监会派出机构进行注册，在新公司未完成注册前，合并方基金销售业务资格部分终止，新公司6个月内仍未完成注册的，合并方基金销售业务资格终止；
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2. In a merger by absorption, if the surviving party does not have a fund sales qualification, it shall apply to the CSRC office at the place of its industrial and commercial registration for registration of such a qualification pursuant to these Measures; before the surviving party completes the registration formalities, the fund sales business of the merged party shall be partially terminated; if the surviving party fails to complete the registration formalities within six months, the qualification of the merged party shall be terminated;
| | （二）基金销售机构吸收合并且存续方不具备基金销售业务资格的，存续方应当根据本办法的规定向工商注册登记所在地的中国证监会派出机构进行注册，在存续方完成注册前，被合并方基金销售业务部分终止，存续方6个月内仍未完成注册的，被合并方基金销售业务资格终止；
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3. In a merger by absorption,, if the merged party does not have a fund sales qualification, the fund sales agency shall go through the recordation formalities under Articles 22 and 23 of these Measures after the branch offices (outlets) of the merged party reach the regulatory requirements for the fund sales business, and submit a system integration report to the CSRC for recordation according to the relevant requirements for fund sales information management platforms;
．．．．．． | | （三）基金销售机构吸收合并且被合并方不具备基金销售业务资格的，基金销售机构应当在被合并方分支机构（网点）符合基金销售规范要求后，按本办法第二十二条、第二十三条的要求备案，同时按照基金销售信息管理平台的相关要求将系统整合报告报中国证监会备案；
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