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顶层监管“紧箍咒”亮相 私募基金又要大批失联?

2017-09-07 10:52:09   央广网

在经过之前较长一段时间的酝酿之后,有关私募基金行业发展的顶层监管制度8月30日正式亮相。

在本次由国务院发布的《私募投资基金管理暂行条例》征求意见稿(以下简称《私募管理条例》)中,有关业务及人员合规、信息披露、法律责任等多项重要内容均被囊括在内,且提出较以往更加严格和全面的监管要求。

而从私募行业最近几天的反馈来看,多位业内人士则普遍向中国证券报记者表示,《私募管理条例》在即将开启新一轮行业洗牌的同时,预计还将显著提高私募机构在合规、运营等多个方面的成本。

一方面,私募牌照的“持牌”难度、私募行业的门槛将显著增大;

另一方面,随着私募基金管理更趋阳光化,将会有为数不少的私募基金管理人,在对私募牌照的“鸡肋”思维下,逐步退出私募行业。

违规违法成本增大

本次《私募管理条例》共计10章、58条,其中第四十四条至五十六条合计多达13条内容,均直接涉及到私募机构违规、违法的法律责任。尽管多数法律条款均以罚款、警告的内容方式出现,但也同样意味着,未来私募机构一旦“出圈”,就将面临《私募管理条例》的严惩。

上海世诚投资总经理陈家琳在接受中国证券报记者采访表示,此次《私募管理条例》对35种违规行为提出了明确的处罚措施,且处罚力度也较大,彰显了监管部门对私募基金违规行为的打击决心。

蓝海韬略董事长苏思通则进一步指出,中国资本市场的现状,类似于美国金融市场的早期发展阶段,各种机构鱼龙混杂。而现阶段国内私募机构参差不齐,很大一部分涉嫌非法集资和违规交易。本次《私募管理条例》的出台,将会在很大程度上限制非法私募的生存空间,净化市场土壤。

行业门槛显著提升

值得注意的是,本次《私募管理条例》还着重对私募机构的业务规范、信息披露,提出了更全面和更严格的要求。

对此,上海富钜投资总经理唐弢今日向中国证券报分析表示,本次出台的监管新规在合规方面提出了更加详细和明确的要求,诸如信息披露、交易资料保存、录音录像等多个方面,这就需要私募机构必须在IT技术、人员、资金等方面增加投入和开支,直接加大了私募机构的日常运营支出。该私募人士同时指出,包括相关信息披露、实缴资本比例的提升等等方面的新要求,一方面对于投资者的保护和行业的健康发展都很有必要,但另一方面则势必会显著提升私募基金行业的进入门槛。

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