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券商参与股票质押式回购交易 融入方不讲信用将进黑名单

2017-09-09 07:11:44   中国经济网

■本报记者 侯捷宁

9月8日,《证券日报》记者从中国证券业协会获悉,其近日对2015年3月15日发布的《证券公司股票质押式回购交易业务风险管理指引》进行了修订,形成了《证券公司参与股票质押式回购交易风险管理指引(征求意见稿)》(简称《指引》),并正式公开征求意见。《指引》进一步细化了风控指标要求,加强了对融出资金的监控和对券商展业的底线管理,此外,还建立了黑名单制度。

据了解,《指引》修订的主要内容包括六大方面。

一是强化证券公司尽职调查要求。细化尽职调查流程、人员、报告等内容,加强业务风险的事前控制。

二是加强对融出资金监控。要求融入方使用专用账户存放融入资金,证券公司发现资金用途违反协议约定的,应当督促融入方采取改正措施。

三是细化风控指标要求。按照分类监管原则对证券公司自有资金参与股票质押回购交易业务融资规模进行控制,即分类评价结果为A类的证券公司,自有资金融资余额不得超过公司净资本的150%;分类评价结果为B类的证券公司,自有资金融资余额不得超过公司净资本的100%;分类评价结果为C类及以下的证券公司,自有资金融资余额不得超过公司净资本的50%。同时要求证券公司对坏账减值进行计提。

四是建立黑名单制度。《指引》规定证券公司对出现融入方存在未按照合同约定购回,且经催缴仍未能购回、融入方存在未按照合同约定使用融入资金且未按照合同约定期限改正等重大违约情形时记入黑名单,并通过协会向行业披露;对记入黑名单的融入方,证券公司在披露的日期起3年内,不得向其提供融资。

五是加强对证券公司展业的底线管理。《指引》明确规定了证券公司不得有虚假宣传、为客户不正当交易行为提供便利、占用其他客户交易结算资金等九项禁止性行为。

六是强化对资产管理客户的权益保护。要求证券公司充分揭示业务风险,严格防范利益冲突,强化管理人责任。

此外,《指引》只适用于新增合约,此前已存续的合约可以按照原有规定执行和办理延期,不需要提前了结。

证券业协会有关负责人表示,本次规则修订是为了贯彻落实全国金融工作会议精神和全国证券期货监管系统年中监管工作座谈会要求,提高证券公司服务实体经济的能力和水平,保护投资者合法权益,防控交易风险。在征求意见结束后,协会将在各方反馈意见的基础上对《指引》进行修订完善,择机发布实施。

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