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国海证券产品频频掉链 后萝卜章时代内控依然是硬伤

2017-09-22 09:27:41   中国经济网

张明告诉《国际金融报》记者,“发生这种连续性的巨额赎回,一种可能性是公司基本面管理层出了问题,影响投资者信心,产品净值长期下滑,不盈利;还有一种可能性是投资者已经提前知道了公司或者产品的某种重大负面事件,在事件爆发前纷纷逃离。”

“闹心事”不止 

除去频繁的巨额赎回,国海证券的集合资管计划还曾遇到过强制赎回、提前终止、进取委托人违约等“闹心事”。

强制赎回是指未经投资者提出赎回申请,而由管理人或基金注册登记人根据既定业务规则对投资者持有基金份额强制进行赎回处理。

国海证券的两个新三板集合资管计划“国海金贝壳新三板1号”、“国海金贝壳2号”分别于2017年7月31日及6月30日发生强制赎回,强赎本金比例分别为91.77%、85%,几乎相当于变相“退出”。

此外,记者发现,2017年3月9日,国海证券公告称,对“国海证券赋禀稳健避险2号集合资产管理计划(分级)”运作情况进行自查,因在杠杆比例等方面不符合要求,“本计划拟于2017年3月15日提前终止”。

2016年12月20日,国海证券发布“国海明利股份1号集合资产管理计划进取级委托人违约”的公告,称“截至2016年12月19日,本集合计划银行托管专户未收到进取级委托人划入的追加资金,进取级委托人已经违反了《资产管理合同》的约定,出现了违约行为”。紧接着23日,进取级委托人未追加资金,再次出现了违约行为。

内控不严埋“暗礁” 

产品频出问题的背后显示出国海证券资管业务的式微。

因为2016年12月“萝卜章”事件东窗事发,国海证券遭到了证监会的严厉处罚,资管、投行等多条业务线规模受到影响。

证监会对国海证券暂停资产管理产品备案一年、暂停新开证券账户业务一年,暂不受理债券承销业务有关文件一年。

“这已经算是比较重的处罚了。而且给国海证券业务带来的影响是双重性的,除了一年不能发新产品,原来的产品到期也要结束掉。”沪上某券商从业人员告诉《国际金融报》记者。

从另一方面来说,该事件也反映出国海证券内部控制等诸多方面存在问题。

证监会已对国海证券债券交易业务、资产管理业务、以及与之相关的内部控制、合规管理、风险管理等事项,进行了全面的现场检查。检查发现,国海证券存在内部管理混乱、合规风控失效、违规事项多发等问题。

这些“暗礁”无疑为资管产品多次“掉链子”埋下隐患。“内控不严、管理混乱,产品体系很容易集中爆发问题,出现连锁式反应。”上述从业人员表示。

根据2017年证券公司分类评级结果,国海证券直降两级,从去年的BBB跌落至B,下一步业务开展范围将进一步受到限制。

国海证券中报显示,截至2017年6月30日,公司资产管理业务共管理22只集合计划、91只定向计划及9只专项计划,受托客户资产管理总规模达1811亿余元。

其中,从“掉链子”多发的集合资管领域来看,2017年上半年公司集合资管规模132.78亿元,较2016年末减少6.78亿元,减少4.86%;较2016年同期减少28.84亿元,减少17.84%。

(国际金融报记者王媛媛)

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