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多只基金发行被紧急叫停 已认购基民尴尬了

2017-09-12 07:57:24   中国经济网

近日,新基金发行市场风波再起,一些将要发行的新基金推迟发行计划,另一些正在发行的基金更是不得不暂时中断发行。 《金融投资报》记者采访发现,这主要是受监管层发布流动性新规影响,新基金要按新规修改相关法律文件才可以继续发行,而已认购了被暂停发行的基金的基民则尴尬了。

两类基金遭暂缓发行

根据公告,最近几天发行中断的基金基本可以分为两类:

一类是还没有开始募集,基金公司及时公告发行计划暂缓。例如,财通资管鑫锐回报原定于9月11日开始募集,9月9日,基金公司宣布募集计划推迟,恢复时间另行公告。中欧可转债基金、海富通盈鑫货币市场基金均属于这类情况。

另一类则是已经开始募集,发行被迫中断。例如,交银施罗德天运宝货币市场基金原本自9月6日就开始发行,不过9月8日公司公告,该基金即日起暂停募集。上银聚加利货币市场基金、兴银丰润灵活配置均属于开始募集之后或者在原定开始募集当天又宣布暂缓募集的情况。

这一切,与监管层下发的流动性新规有关。《金融投资报》记者注意到,今年8月31日,证监会下发《公开募集开放式证券投资基金流动性风险管理规定》,对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作出规范,并针对货币市场基金的流动性风险管控做出了专门规定。为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。该规定自10月1日起施行。

9月7日,监管层又紧急发布了《关于做好基金产品募集、合同修改等有关事项的通知》,要求在9月1日(含当日)以前刊登基金发售公告的,可继续完成募集;在9月1日后刊登了基金发售公告,出于与新规有序衔接、后续投资运作便利等考虑,必须先完成基金合同、招募说明书等文件的修改,才可开展募集工作。这才出现了上述暂停募集和暂缓发行的基金。

基民时间成本将增大

从上述发行计划中断的基金来看,其中不仅有货币基金、债券型基金,也有偏向于权益类的灵活配置基金、指数基金等。对基金公司来说,这事来得有点突然。“要是早知道有这个事,可能我们就会暂时缓一缓。”一家基金公司内部人士表示。

据知情人士透露,这些被中断发行的新基金如果要重新发行,可能需要先完成基金合同、招募说明书等文件的修改,并将合同修改对照表等文件向监管层提交备案,待监管层同意后再继续发行。基金公司内部可能也需要重新走相关文件流程。

有基金公司人士表示,目前相关的法律文件已在着手修改,至于何时能够重启发行,这位人士则表示“应该不会太久”。

对于基民来说,遇到基金发了一半不发了的情况确实比较少见。那么对已经认购了的基民来说,有可能将会付出一定的时间成本。

一家宣告暂缓发行的基金公司有关人士透露,“新基金公布了发行公告以后,突然接到新规通知,于是我们自己买了一些份额测试了下交易流程,并且及时暂停了发行,目前没有对投资者造成影响。”另一家基金公司的有关人员则表示,修改好基金合同和招募说明书以后就会继续发行。

据《金融投资报》记者不完全统计,自9月8日以来截止9月11日,至少有15只待发或已开始发行的新基金宣布发行暂缓。

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