新闻 > 经济
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China

监管层启动研究所现场检查 9家在抽查之列

2017-08-25 10:16:26   中国经济网

研报违规的券商要小心了!监管层启动研究所现场检查,9家在抽查之列

文/弘毅

那些研报违规和评选拉票的券商要小心了!

券商中国记者获悉,近期中国证券业协会启动了对证券业研究报告发布业务的例行现场检查,检查范围是在分仓收入排名前40位的券商中随机抽取的9家券商,检查内容包括调研尽职、研报合规、防火墙设置、拉票等。

值得注意的是,在各类分析师评选过程中频见报端的拉票等不当竞争行为,也属于本次例行检查新增加的重头戏,这在证券业引发了不小的震动。

哪9家?分仓收入前40大中型券商中抽取

据接近中证协的人士称,本次检查属于针对证券业发布证券研究报告业务的例行现场检查,并非针对某项业务的专项检查。

针对被检查的9家券商,上述人士称,这9家券商是在去年分仓收入前40位的大中型券商中,通过摇号随机产生,并非因为已经发现这些券商在执业过程中出现了问题。

多家券商人士透露,这次例行检查的内容较为广泛,从调研是否尽职,调研底稿是否完备,发布研报流程是否合规,研报观点是否审慎,是否和公司内部其他部门做好防火墙等内容,均需要券商提供相应的依据和材料。

据上述接近中证协的人士称,尽管是例行检查,不过一旦发现证券公司发布证券研究报告业务中存在不规范事项,势必将采取自律管理措施。

另有业界人士告诉记者,2016年10月31日至11月8日期间,中证协根据证监会机构部要求主导开展了发布证券研究报告业务现场检查,检查共涉及9家证券公司,并发现这9家公司的发布证券研究报告业务在合规审核、绩效考核、内部制度建设及实际操作层面等方面均存在不同程度的问题。

针对这些问题,中证协最终在2017年4月份对7家证券公司进行了书面提醒,对1家证券公司采取了警示的自律管理措施,对1家证券公司采取了约谈的自律管理措施。

被上市公司公开澄清的研报,成新问题

知情人士透露,尽管中证协本次检查属于例行检查,但每年都会有针对性地制定检查主题,或者说与往年不一样的检查内容。在这一大背景下,中证协还会针对某家公司不同的经营特点制定相应的检查内容。

上一页1/2下一页
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China

相关阅读

404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
分享到:
0 0
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China

美图推荐

404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China

为您推荐

加载更多>>
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170825/31185170.html
Server: cms-9-53
Date: 2024/12/01 08:00:17

Powered by China
China