财务顾问主办人考试介绍（An introduction to the financial advisors examination）.docVIP

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财务顾问主办人考试介绍（An introduction to the financial advisors examination）.doc

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财务顾问主办人考试介绍（An introduction to the financial advisors examination）

财务顾问主办人考试介绍（An introduction to the financial advisors examination） 1, what kind of company has financial advisor qualification?: The second chapter, business license Article sixth securities companies engaged in mergers and acquisitions of listed companies financial advisory business, should have the following conditions: (1) the net capital of the company meets the requirements of the csrc; (two) a sound and well functioning internal control mechanism and management system, and strictly implement the risk control and internal isolation system; (three) establish a sound due diligence system with good project risk assessment and core mechanism; (four) the companys financial accounting information is true, accurate and complete; (five) the controlling shareholder and actual controller of the company have a good reputation and have no major illegal records for the last 3 years; (six) there are no less than 5 sponsors of financial advisers; (seven) other conditions as stipulated by the csrc. Article seventh securities investment advisory institutions engaged in mergers and acquisitions of listed companies financial advisory business, should have the following conditions: Having obtained the qualification of securities investment consulting business approved by the CSRC; (two) the paid in registered capital and net assets shall be no less than RMB 5 million yuan; (three) a sound and well functioning internal control mechanism and management system, and strictly implement the risk control and internal isolation system; (four) the companys financial accounting information is true, accurate and complete; (five) the controlling shareholder and actual controller have not changed in the past year before the company applies for the qualification of mergers and acquisitions and financial consultancy of the listed company. The company has a good reputation and has no record of major violations of the law for the last 3 years; (six) having more than 2 years of practice experience