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私募监管顶层设计呼之欲出

2017-09-01 08:16:52   中国经济网

8月30日,国务院法制办公室发布《私募投资基金管理暂行条例(征求意见稿)》(以下简称《暂行条例》),从2017年8月30日至2017年9月30日向全社会公开征求意见。

具体来看,《暂行条例》共11章58条,分别从私募基金管理人和托管人职责、资金的募集和运作、信息提供、行业自律和监督管理、法律责任等方面明确了监管规则,此外专设了创业投资基金相关规定,对这类基金,国家政策会予以扶持,并实行差异化的监管和服务。

业内人士指出,《暂行条例》出台将提升私募基金监管的立法层级,既是相关部门加强和统一金融监管政策的具体举措,也是私募基金业未来发展的“顶层设计”,对行业发展意义重大。

厘清私募基金边界

私募基金作为专业机构投资者中的生力军,对于优化金融资源配置、丰富多层次资本市场建设具有重要意义。但是,随着我国私募基金行业快速发展,近年来也出现一些亟待解决的突出问题,例如以私募名义变相公开募集资金、不履行投资者适当性管理义务等违法违规情形时有发生。为突出风险防范和投资者权益保护、坚持适度监管,国务院法制办公室日前出台了《暂行条例》。

按照《暂行条例》,私募基金是指在中华人民共和国境内,以非公开方式向合格投资者募集资金设立,由基金管理人管理,为投资者的利益进行投资活动的私募证券投资基金和私募股权投资基金。非公开募集资金,以进行投资活动为目的设立的公司或者合伙企业,资产由基金管理人或者普通合伙人管理的,其基金管理人、基金托管人、资金募集、投资运作和信息提供适用该条例。

在此基础上,《暂行条例》明确了私募基金可以投资的品种,包括证券及其衍生品种、有限责任公司股权、基金份额,以及国务院证券监督管理机构规定的其他投资品种。

针对私募行业内存在的问题,源乐晟资产认为,需要制定专门的行政法规,为规范私募基金活动、保护投资者合法权益提供有效的法律依据。相关法律法律的出台,将进一步优化行业生态,促进行业公平竞争,真正做到“扶优限劣”。

“本次条例出台大大提升了私募基金监管的立法层级,既是国家加强和统一金融监管政策的具体举措,也是私募基金业未来发展的‘顶层设计’。”相聚资本首席执行官梁辉表示。

暖流资产总经理程鹏也指出,对私募基金的管理上升到国家法规的层级,体现了国家和监管部门对私募行业的重视,提高了行业监管的严肃性和权威性,有利于行业的进一步规范发展。

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