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前三季度6家信托公司累计受罚345万元

2017-10-13 07:27:54   

前三季度6家信托公司累计受罚345万元 信披与关联交易违规被重点“敲打”

华鑫信托、北方信托、中江信托、厦门信托等6家信托公司共被当地银监局开出10张罚单,其中北方信托遭遇4张罚单

■见习记者 邢 萌

据《证券日报》记者不完全统计,今年前三季度各地银监局共向6家信托公司开出10张罚单,处罚金额合计为345万元。强监管环境下,信托公司受罚频率也明显提高:在2015年、2016年两年间,信托公司合计仅遭遇15张罚单。

从违规事实来看,关联交易和信息披露已成为信托公司受罚相对集中的领域。多名信托人士指出,信托行业近期频繁受罚意味着信托公司行业的监管将由粗放转向精细,倒逼信托公司进一步加强自查,更加重视在年报信息披露、集合信托业务开展、信息披露、风险处置、资金池业务等方面的合规风险管理,提高对自身的要求,促进行业良性发展。

6家信托公司

遭遇10张罚单

9月29日,江西银监局官网披露,因“未依规向监管机构报告关联交易”,依据《中华人民共和国银行业监督管理法》(以下简称“《银行业监督管理法》”)第四十六条,江西银监局对中江信托作出罚款人民币30万元的行政处罚决定。

这已经是中江信托今年以来的第二张罚单,5月份中江信托曾接到过一张江西银监局开出的40万元的罚单。主要违法违规事实为“绩效考评制度以及绩效薪酬发放不符合监管规定”。

值得注意的是,强监管的背景下,银监会今年开出罚单数量增加的趋势在信托业反映明显。据《证券日报》记者不完全统计,今年前三季度信托公司已收到10张罚单,而2016年与2015年两年一共仅有15张罚单。

就今年情况看,国通信托、华鑫信托、北方信托、中江信托、厦门信托、中建投信托6家信托公司共被当地银监局开出10张罚单,处罚金额总计345万元,其中北方信托遭遇4张罚单,中江信托则获得2张罚单。

有金融分析人士对《证券日报》记者指出,信托公司罚单的增加,符合当年金融行业严监管的形势,现在金融行业普遍存在表面符合规定实质并不规范的情况,这也需要逐步细化的监管政策来规范。

也有信托研究人士表示,监管部门加大对信托公司的处罚力度,也将倒逼信托公司进一步加强自查,更加重视在年报信息披露、集合信托业务开展、信息披露、风险处置、资金池业务等方面的合规风险管理,提高对自身的要求,促进行业良性发展。

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