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公募基金流动性风险管理规定10月起实施

2017-09-06 07:06:59   中国经济网

⊙记者 马婧妤 ○编辑 剑鸣

证监会近日正式发布了《公开募集开放式证券投资基金流动性风险管理规定》(下称《规定》),并将自2017年10月1日起施行。《规定》共10章41条,主要内容涵盖基金管理人内部控制以及基金产品设计、投资限制、申购赎回管理、估值与信息披露等业务环节的规范,同时也对货币市场基金的流动性风险管控做出了专门规定。

今年3月31日,证监会就《规定》向社会公开征求意见。证监会新闻发言人高莉在昨日召开的例行新闻发布会上介绍,截至征求意见结束,证监会共收到53家单位的反馈意见。

从反馈意见情况看,各方普遍认为,流动性风险是现阶段我国公募基金行业稳健发展所面临的突出问题,《规定》聚焦公募基金流动性风险,进一步细化底线要求,强化机构在流动性风险管控方面的主体责任,有利于降低基金业务的结构脆弱性,促进我国公募基金行业的持续健康发展。

针对各方提出的具体修改建议,证监会采纳了其中合理可行的部分,相应调整了《规定》的相关条款。

高莉表示,《规定》是《证券投资基金法》、《公开募集证券投资基金运作管理办法》与《货币市场基金监督管理办法》的配套规范性文件,考虑到行业落实法规要求需要一定时间,《规定》将自2017年10月1日开始施行。

同时,为确保法规平稳实施,避免对市场造成短期影响,《规定》对涉及基金管理人需进行投资调整的事项均给予了6个月的过渡期。

高莉称,《规定》以强化金融监管为重点,以防范系统性金融风险为底线,以问题为导向,着力防范化解当前基金行业所面临的突出风险。《规定》的核心是基金管理人自我风险管理意识与能力的提升,《规定》虽对基金管理人做好基金流动性风险管控工作提出了底线要求,但其中关键还在于后续的落实与执行。

她表示,各基金管理人须根据具体条款,强化与落实金融机构防范风险主体责任,抓紧建立与完善基金流动性风险的内控制度与机制,全面构建多维度的流动性风险监测与预警制度,提升识别、防范与抵御风险的能力。

下一步,证监会将继续按照依法全面从严监管的原则,加强监管,防控风险,促进公募基金行业健康发展。

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