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私募基金迎管理新规 推动行业未来合规运营

2017-09-14 08:16:23   新华网

私募基金行业迎来发展的顶层管理制度。近日,国务院法制办公室就《私募投资基金管理暂行条例(征求意见稿)》(以下简称《征求意见稿》)向社会公开征求意见,意见反馈截止日期为9月30日。

《征求意见稿》共计11章58条,私募基金管理人和托管人的职责、资金募集、投资运作、信息提供、行业自律、监督管理、法律责任以及创业投资基金特别规定等重要内容均被囊括在内,监管规则的确立意味着私募基金行业的顶层设计即将落地。

星石投资总经理、中国证券投资基金业协会第二届合规与风险管理专业委员会联席主席杨玲对记者表示,此法规的出台,使得私募监管标准大大提升,未来私募的合规、稳定运营能力有望进一步加强,无底线行为也将减少,合规、诚信、专注投资的私募在监管中将实现“良币驱逐劣币”,这对投资人而言意义重大。

为私募基金活动提供法律依据

近年来,我国私募基金行业快速发展。各类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具有重要意义,在支持创业创新、推进供给侧结构性改革、促进直接融资发展、服务实体经济等方面发挥了积极作用。

不过,与此同时,私募基金行业也存在一些亟待解决的突出问题。据了解,有的私募基金的资金募集和投资运作不规范,存在利益输送行为,甚至搞虚假投资或者侵占、挪用基金资产,损害了投资者权益;有的私募基金信息提供不充分,甚至欺骗、误导投资者;还有一些私募基金管理人内部治理结构、管理制度不健全等。

记者从证监会9月8日召开的新闻发布会上获悉,2017年,私募基金专项检查执法情况显示,私募基金行业整体上守法合规意识和规范化水平逐步提高,但其中有一些私募机构仍然存在违法违规问题。检查发现,12家私募机构存在涉嫌非法集资、挪用基金财产、向非合格投资者募集资金、利用未公开信息获利等严重违法违规行为;190家私募机构存在登记备案信息不准确、更新不及时,公司管理制度和合规风控制度不健全或未有效执行,公司人员、财务、制度缺乏独立性等不规范问题。

合法合规、诚实守信、勤勉尽责是私募基金行业持续健康发展的根本。据介绍,为规范私募投资基金活动,保护投资者及相关当事人的合法权益,促进私募基金行业持续健康发展,根据党中央、国务院的部署,国务院法制办、证监会在深入调查研究、广泛听取意见的基础上,研究起草了《征求意见稿》,为规范私募基金活动、保护投资者合法权益提供了有效的法律依据。

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