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证监会牵头开展大规模期货公司现场检查

2017-08-14 18:07:02   中国经济网

主动作为直面期货监管薄弱环节

彰显监管层防范金融风险的信心和决心

2017年期货公司分类评价结果日前出炉。有22家期货公司获评“AA”,较去年增加了12家,是期货公司分类评价结果对外公布以来的最好成绩。

原因何在?2016年期货公司分类评价结果整体滑坡,主要是由于部分期货公司因信息系统外部接入等违规行为被扣分所致。新的评价年度,全行业进一步加强了基础制度建设,坚守合规底线,分类评价结果因此得以整体回升。

为实体经济服务是金融立业之本,我国期货市场一直致力于提升服务实体经济和国家战略的能力,不断为实体经济疏通血脉,不断开创期货市场服务实体经济的新 格局。应该说,近年来,我国期货业取得的一系列成绩是有目共睹的。行业整体资本实力和盈利能力逐年增强,服务实体经济能力明显提高,“保险+期货”模式有 力的支持了“三农”工作,部分期货公司依靠多元化布局,取得了优异经营成绩。同时,期货市场在我国资本市场中的地位快速提升,并日益成为全球期货市场的重 要组成部分。

应该说,这些成绩的取得,与监管层近年来完备监管制度体系,指导期货公司规范经营、提升抗风险能力等是离不开的。但是,对整个行业而言,如何控制好防范好市场发展中存在的风险,引导期货公司做大做强,仍是需要重视的一个问题。

日前,证监会正在牵头组织派出机构、期货交易所、监控中心、期货业协会等“五位一体”监管协作单位开展2017年期货公司专项检查,检查涉及24个辖 区、32家期货公司及其多家分支机构。此举是为了贯彻全国金融工作会议精神,落实证监会系统的监管工作会议要求,坚持主动作为,维护期货市场秩序稳定,推 动期货公司规范运作、健康发展。据悉,本次检查主要项目包括投资者适当性制度、公司法人治理与内部控制以及相关业务合规情况等,旨在督促期货公司切实落实 投资者适当性制度,保护中小投资者合法权益;推动期货公司资管业务回归本源,专注主业,依法合规经营。

业界认为,作为全国金融工作会议后证监会最先启动的全国范围内大规模的监管行动,对期货公司进行专项检查是贯彻落实全国金融会议精神的积极举措。特别是证监会坚持主动作为,直面监管薄弱环节,彰显了监管高层对防范系统性金融风险的信心和决心。

值得一提的是,据笔者了解,本次检查是期货行业发展至今,对期货公司进行的规模最大的现场检查。这体现了全国金融工作会议对金融监管部门提出的“恪尽职守、敢于监管、精于监管、严格问责”监管精神要义。

期货市场作为我国资本市场的重要支柱之一,近年来以其规模成长和发展速度受到了各界广泛关注。期货市场作为重要的风险管理工具之一,在服务实体产业、促进产业升级转型等方面的作用与影响力正逐步受到认可。但是,在这过程中,如何做好风险防范,依然任重而道远。

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