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资本“玩家”遭重拳 强监管成A股主线

2017-05-09 09:50:37   经济参考报

原标题:资本“玩家”遭重拳 强监管成A股主线

近日,西南证券发布公告称,公司及大有能源2012年定增项目及持续督导保荐代表人李阳、吕德富、梁俊收到行政处罚事先告知书:此案已由证监会调查完毕,公司出具的发行保荐书等文件存在重大遗漏;出具的上市保荐书和2012年度持续督导报告存在重大遗漏。证监会拟决定:责令改正,给予警告,没收业务收入1000万元,罚款2000万元;予李阳、吕德富警告并处罚金30万元;予梁俊警告并处罚金15万元。

去年以来,加强监管始终是A股市场的一条主线,除了作为市场主体的上市公司之外,对于包括证券公司在内的中介机构、公募私募基金等市场参与者,以及在投资者适当性管理方面,监管部门正在对市场中的多个主体建立起一套全新的约束机制。

中介机构遭罚成常态

自2016年以来,证监会就全方位加强了对于包括证券公司在内的市场中介机构的监管力度,中介机构遭到证监会立案调查的情况屡见不鲜。

初步统计显示,2016年全年,兴业证券、西南证券、中德证券和中泰证券等四家券商分别被立案调查;广发证券、海通证券、华泰证券和方正证券等四家券商因“未按规定对客户的身份信息进行审查和了解”总计罚没金额接近2.4亿元。五家券商投行业务被责令限期改正、出具警示函,两家券商被暂停新三板开户业务六个月,一家券商因“直接参与信用评级报告修改”公司债承销资格被暂停六个月,一家券商被证监会责令暂停新开证券账户六个月。除此之外,当年共有48家券商因新三板业务被全国股转系统出具自律监管措施,被罚次数73次。2016年证券公司分类评级结果显示,95家参评券商中,58家评级下滑,30家评级持平,仅7家评级上调。

进入2017年,对于券商的监管力度有增无减。今年2月,监管部门下发的《关于组织“自查自纠、规整规范”专项活动的通知》显示,为排查证券公司并购重组财务顾问、公司债、资产证券化和非上市公众公司推荐业务的普遍问题和潜在风险,证监会决定对上述业务组织开展“自查自纠、规整规范”专项活动,自查自纠的范围包括2015年、2016年上市公司并购重组财务顾问业务、公司债券业务完成的全部项目,包括取得核准批文、审核(审查)未通过、终止审核(审查)的项目,2015年、2016年资产证券化业务完成的全部项目,包括取得交易所无异议函、未通过审查和终止审查的项目。在非上市公众公司推荐业务方面,主办券商要选取2015至2016年完成的部分项目进行自查,自查的项目数量占上述两年内完成的项目总数的比例不得低于10%。

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