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「300088长信科技」资本“玩家”遭重拳(2017-05-09)

300088长信科技

300088长信科技——腾飞论坛

  Recently, Southwest Securities announced that Li Yang, LV Defu and Liang Jun, the sponsor representatives of the company and Dayou energy’s fixed increase project and continuous supervision in 2012, received the prior notice of administrative punishment: the case has been investigated by the CSRC, and there are major omissions in the issuance sponsor and other documents issued by the company; there are major omissions in the listing sponsor and 2012 continuous supervision report issued by the company.The CSRC plans to make a decision: order to correct, give a warning, confiscate business income of 10 million yuan and fine 20 million yuan; give Li Yang and LV Defu a warning and a fine of 300000 yuan; give Liang Jun a warning and a fine of 150000 yuan.
  Since last year, strengthening supervision has always been a main line of the A-share market.In addition to the listed companies as the main body of the market, the regulatory authorities are establishing a new set of restraint mechanisms for the market participants including securities companies, public and private funds, as well as the investor suitability management.

  Intermediary agencies punished as normal
  Since 2016, the CSRC has strengthened the supervision of market intermediaries including securities companies in an all-round way, and it is not uncommon for intermediaries to be investigated by the CSRC.

300088长信科技——宝福

  Preliminary statistics show that in 2016, four securities companies, including industrial securities, Southwest Securities, Zhongde securities and Zhongtai securities, were put on file for investigation; four securities companies, including Guangfa Securities, Haitong Securities, Huatai Securities and Founder Securities, were fined nearly 240 million yuan for “failing to review and understand customers’ identity information according to regulations”.Five securities companies were ordered to correct their investment banking business within a time limit and issue warning letters.Two securities companies were suspended from opening accounts on the new third board for six months.One securities company was suspended for six months because of its “direct participation in the modification of credit rating report” corporate bond underwriting qualification.One securities company was ordered by the CSRC to suspend opening new securities accounts for six months.In addition, a total of 48 securities companies were issued self regulatory measures by the national stock transfer system for the new third board business in that year, and were fined 73 times.In 2016, the classification rating results of securities companies showed that among the 95 securities companies, 58 were downgraded, 30 were flat, and only 7 were upgraded.

  In 2017, the supervision of securities companies has increased.今年2月,监管部门发布的《关于组织开展“自查自纠、规范化”专项活动的通知》显示,为排查财务顾问推荐业务、公司债券、资产证券化和非上市公司的共性问题和潜在风险公开发行公司在证券公司并购重组中,中国证监会决定开展“自查自纠、规范化”专项活动,自查自纠范围包括2015年、2016年完成的全部项目,包括报批项目,未通过审核和终止审核的,以及2015年和2016年完成的所有项目,包括取得交易所无异议函、审核未通过和终止审核的项目。对非上市公众公司保荐业务,保荐证券公司应当选择2015年至2016年完成的部分项目进行自查,自查项目数占上述两年完成项目总数的比例不得低于10%。
  在新三板市场,证券公司遭遇自律已成常态。初步统计显示,仅2017年以来,就有资本证券、东吴证券、万联证券等近20家证券公司被股权转让系统采取自律措施。上海某证券公司投行部人士告诉《经济参考报》记者,2016年以来,股权转让系统企业上市监管日趋严格。目前,不少证券公司都提高了新三板项目承接标准,注重稳定,防范风险。

300088长信科技——国际货币基金协定

  除了证券公司,会计师事务所、律师事务所和评估机构都感到监管越来越严格。2016年,中国证监会统一组织对2个审计机构和3个评估机构进行全面检查,共检查审计项目39个,评估项目33个;对2个审计机构和1个评估机构进行回访检查,共检查审计项目16个,评估项目4个。今年4月14日,中国证监会宣布,将组织开展对从事首次公开发行(IPO)证券法律业务的律师事务所的专项检查。重点检查律师事务所及其执业律师执业是否合法合规,是否勤勉尽责,是否严格履行了尽职调查义务,法律意见书等法律文件是否存在虚假记载、误导性陈述或者重大遗漏。中国证监会此前公布的2016年20起证券监管审计典型违法案件中,有中德证券财务顾问业务失败案、立信会计师事务所、中通华资产评估有限责任公司等多起案件。,以及联达会计师事务所的违法违规案件。
  证券公司资产管理监管风暴升级

  同时,证券监管体系还全面加强了对公募基金、私募基金等重要市场参与者的监管。在可预见的范围内,这一监管还将突破证券体系,扩大到对资产管理行业的统一监管,防止监管套利。

300088长信科技——手机网站大全

  在去年的中国证券投资基金协会年会上,中国证监会主席刘士余表示,基金业要坚决把依法合规当作“活高压线”,严格遵守法律规定。中国证监会副主席李超在国家新闻办新闻发布会上表示,2016年以来,中国证监会对证券基金机构业务体系进行了梳理和规范,积极遏制行业盲目扩张和监管套利倾向,全面加强风险管控和合规管理,加大监管执法力度,全年采取行政监管措施200多项,涉及数十家证券基金机构和机构相关高级管理人员和员工。
  在私募行业,对规范化发展的重视尤为明显。资料显示,2016年2月5日《关于进一步规范私募基金经理注册的公告》发布后,中国证券投资基金协会不断完善经理注册、产品备案、从业人员管理等措施。截至2016年底,共有12834名私募基金经理被注销。In August 2016, the China Foundation Association issued a notice requiring private fund managers to carry out self-examination and self correction activities, further investigate the potential risks in key links of the institutions themselves, strengthen the internal management of private institutions, strengthen the awareness of law-abiding and compliance, and standardize the development of private fund business.The scope of self-examination and self correction includes publicity, fund-raising from unqualified investors, concurrent operation of non private fund business and other frequent and repeated weak links, as well as fund safety and operation compliance.

  Private fund regulation and arbitrage regulation are developing among different departments.It is understood that China Foundation Association will carry out more strict classified supervision on private placement managers of securities and equity (including venture capital).In principle, private placement managers are required to select only one business from the business scope of securities investment and equity investment, and shall not operate any business inconsistent with its scope within the duration.In February this year, the China Association for basic resources management issued a notice regulating the investment of private equity asset management plan in common residential real estate projects in hot cities, providing financing for real estate development enterprises to pay for land transfer or supplement working capital.The above notice clearly states that the financing provided by the private equity asset management plan to real estate development enterprises shall not be used to pay the land transfer price or supplement the working capital, and shall not directly or indirectly provide convenience for various institutions to issue “down payment loans” and other illegal activities.

  As for the asset management of securities companies, the regulatory department is in the process of rectifying the fund pool products in the asset management business of securities companies.On May 5, the CSRC stressed that the fund pool business is a general term for all kinds of asset management products in the market, which are characterized by borrowing the new to repay the old, mixed operation, raising short-term funds to invest long-term funds, separating pricing from the actual rate of return of the underlying assets, unfair trading, etc. “In recent years, we have noticed in our daily supervision that there are a few securities companies with one or more of the above characteristics in the operation of asset management products and fund special account products.The relevant operation mode deviates from the basic characteristics of independent operation and risk bearing of asset management products.容易积累流动性风险,形成刚性套现的误导性信息,严重损害投资者利益。”中国证监会新闻发言人邓戈表示,为督促落实有关要求,中国证监会在日常监管中不断反复开展机构自查和专项检查,对存在基金池风险隐患的证券基金运营机构的资产管理业务逐步规范有序。
  从目前情况看,2017年将进一步加强对基金等资产管理机构的监管。日前,中国证监会对2017年专项执法行动进行了总体部署。提到2017年专项执法行动将继续打击虚假陈述、内幕交易、操纵市场等传统违法行为,同时全面排查可能产生系统性风险的各类违法案件,影响市场稳定,干扰改革发展。其中包括使用结构化资产管理产品、使用场外融资等多种融资渠道、使用账户数量大、多点联动、恶意操纵等严重影响市场稳定运行的行为,债券市场和私募基金资产管理业务存在风险溢出的违法行为,擅自公开或变相公开发行、转让证券等。

  投资者保护的基石
  种种迹象表明,2016年以来,证监部门在加强打击操纵市场等违法行为的同时,也在多方面加大了对投资者适当性的管理。

  根据中国证监会公布的数据,2016年,中国证监会系统共受理有效违法线索603件,立案侦查551件,新增案件302件。其中,违法信息披露、内幕交易和操纵市场案件182件。在市场操纵案件中,首例案件较多,如信息操纵、跨市场操纵、国债期货合约操纵、跨境操纵等。同时,新立案的“老鼠仓交易”案件有28起。上市公司高管及其亲属仍然是内幕交易的主要群体。中介机构的雇员、公职人员以及银行、保险和信托业的雇员也参与了此案。市场操纵主体涉及大型个人、新三板上市公司、证券公司、信托、私募基金等主体,机构违法主体比例明显上升。
  记者注意到,使用未公开信息的交易主体从公募基金蔓延到私募基金、证券、保险等行业,从投资领域蔓延到研究、交易、托管领域。中国证监会2016年度公布的20起证券监管稽查典型案件中,有许多典型的侵害投资者利益的案件,其中包括上海香港证券交易所跨境操纵案第一宗,首例利用信息优势惩罚市场操纵行为,参与“老鼠仓交易”的公募基金冠军经理成了阶下囚。

  投资者适当性管理是投资者保护的一项基本制度,监管部门在完善投资者适当性管理制度方面取得了重大突破。《中国证券监督管理委员会投资者适宜性管理办法》(以下简称《办法》)自2016年7月1日起施行。至此,全市场统一的投资者适宜性管理制度正式出台。
  近日,中国证监会召开了《办法》实施情况培训会。中国证监会主席助理黄伟在会上表示,投资者适当性管理制度是保护资本市场投资者合法权益的一项基础性、中心性和底线性制度。他要求,中国证监会有关部门要做好现行部门规章、规范性文件与《办法》的衔接工作。各业务机构要修订完善公司相关制度、风险控制、流程等工作环节和相关规章制度,做好人员配备和技术制度准备,加强对投资者信息的理解、分类和持续跟踪,设计科学合理的客户与产品分层匹配管理体系,将风险管理理念引入到适宜性管理中。

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