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银河期货资管计划“高买低卖” 1小时致客户亏千万

2017-09-22 10:03:40   中国经济网

签订合同当日,张先生将上述认购资金1500万元支付至银河期货。

经投资顾问提醒,张先生发现银河期货所认购的资管计划账户于2016年4月14日晚发生了近千万亏损。随后张先生向银河期货了解情况,方得知银河期货对于账户亏损毫不知情,对于账户为何发生巨额亏损至今仍未查证清楚。张先生认为,银河期货作为原告资金的管理人,对于资金安全负有保管义务,对于交易系统的安全也负有直接责任,在资产管理合同中,银河期货明确将对资金安全采取预警措施,但在账户发生不正常交易时,所谓的预警措施亦未起到任何作用,造成了巨额亏损。根据我国有关法律规定,资金管理人不得在资产管理计划运行过程中委托投资顾问直接下单,而银河期货所委托资金由投资顾问富优达直接下单,违反了有关法律规定,也造成了此次巨额亏损事件的发生。

北京时间财经了解到,作为资产管理人,银河期货在资管合同中承诺,本产品为管理人主动管理型产品,管理人实际承担投资管理职责并将采取有效措施控制风险,不进行包括但不限于内幕交易、操纵市场、投资顾问等第三方代为投资决策、违规场外配资、违反账户实名制出借账户以及违规在产品账户下设子账户、分账户、虚拟账户等在内的任何违法违规证券活动。

北京时间财经查阅该资产管理合同发现,相应的资产管理计划确实设置了预警止损机制:预警线为本计划单位份额净值0.90元,在本计划存续期内任何一个工作日(T日)收盘后,经管理人估算的T日计划资产单位净值触及预警线时,资产管理人将通知投资顾问,提出风险警示;止损线为本计划单位份额净值0.85元,经管理人估算的T日计划资产单位净值等于或低于止损线,资产管理人自T+1日9:15起,对资产管理计划所持有的期货品种进行变现操作。同时,本计划设置了风控方法。但是对于资产管理人是否严格按照合同规定启动预警机制和止损机制进行变现等相应操作,资产托管人不承担任何责任。

然而,据张先生反映,亏损发生时及发生后银河期货未采取任何风控措施,第二天银河期货直接对该资管计划账户进行了清算。2016年5月4日,张先生回款862.54万元,亏损超四成。

2017年3月,证监会北京监管局答复张先生称,张先生与银河期货在《银河期货富优达期货量化多策略资产管理计划资产管理合同》中就预警止损机制进行了约定,根据2016年4月14日至15日的交易记录,未见银河期货存在未按约定启动预警止损机制情形,未见银河期货与张先生的上述约定存在违反监管规定情形。

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