25 institutions special inspection ending compliance supervision strict normalization www.huangse.com

25 special inspection agencies ending compliance supervision and strict normalization guide to Livy years ago the Commission announced a review of the 25 securities and futures business institutions, the majority of inspection work has been basically completed, and some institutions or for inspection problems and will be punished. Reporter Livy reports from Beijing, regulators supervision of securities and futures institutions compliance strictly signs are becoming increasingly evident. Twenty-first Century economic report learned from the close to the regulators, the brokerage raised source at the reporter the day before, years ago, the Commission announced that the 25 securities and futures business institutions (hereinafter referred to as securities institutions) for inspection after inspection, most of the work has been basically completed, and some institutions or for inspection problems and will be punished. It is worth mentioning that the compliance inspection and supervision measures to strengthen supervision of the supervision institutions, on the one hand from the capital market to further improve, especially the inter agency regulatory demands, on the other hand, stakeholders and regulators about adjustment. According to the aforementioned sources close to the regulators, last year the Commission completed the new personnel responsibilities, to financial institutions and regulatory compliance will be further strengthened, and the corresponding supervision strength is also possible in the future to further normalization. In the industry view, the regulators if some institutions take the corresponding administrative punishment measures of supervision, or will the industry does not regulate the phenomenon of warning. "Some of the institutions will be punished," and before the year, regulators made on-site inspections of the institutions." At the beginning of February, back north a close to the regulators of the brokerage responsible person told reporters in twenty-first Century, "the inspection involving a total of 25 institutions, there may be part of the company to be punished, the punishment may be related to years after down." In fact, the broker responsible person revealed by examination, it is the Commission announced in December 4th last year, with "problems and risks" for the special inspection guidance from the securities and futures business institutions to carry out the. According to the arrangement of the SFC, the inspection involving a total of 7 brokerages, 1 brokerage owned pipe company, the 3 fund companies, 5 subsidiaries and 3 Futures Company, 3 futures risk management subsidiary companies, 2 securities investment consulting institutions and 1 fund sales company. Insiders said the special inspection announced early in the month, part of the supervision of personnel has on the part of institutions "admission", inspection work is also quite detailed. "At that time, also how to deal with, and later (Fund Industry Association) to the people, for one day, Richard relatively fine, then ask this question, although there were prepared, but still quite difficult to deal with." A sample of a subsidiary of the fund who said, "say what the direction of investment behind the project is what some nested like, mainly checked are some relatively complex design projects." According to the aforementioned background brokerage department said, according to one of the regulators the selection of special inspection object is on the scale of business growth, 25 checks in the relevant business institutions, most institutions grew more rapidly. Most of the institutions inspected are industry theory

25机构专项检查收官 合规监管从严常态化   李维   导读   年前证监会宣布对25家证券期货经营机构进行检查后,多数检查工作已基本完成,而其中部分机构或因检查中存在的问题而将遭到处罚。   本报记者 李维 北京报道   监管层对证券期货经营机构的合规性从严监管迹象正愈加明显。   21世纪经济报道记者日前从接近监管层的券商、公募人士处获悉,年前证监会宣布对25家证券期货经营机构(下称证监类机构)进行检查后,多数检查工作已基本完成,而其中部分机构或因检查中存在的问题而将遭到处罚。   值得一提的是,监管层加强对证监类机构的合规检查及监管措施,一方面来自于其进一步完善资本市场,特别是机构间规范性的诉求,另一方面也和监管层的相关人士调整有关。   据前述接近监管层人士透露,去年证监会完成新的人事责任分工后,对金融机构的合规性监管将进一步强化,而相应的监管强度也有可能在未来进一步常态化。   在业内人士看来,此次监管层若对部分机构采取相应的行政监管措施等处罚,或将对行业内的不规范现象形成警示。   部分机构或将被罚   “就在年前,监管层对机构进行了现场检查。”2月初,华北一家接近监管层的券商后台部门负责人向21世纪经济报道记者透露,“这次检查一共涉及25家机构,可能会有部分公司被处罚,相关的处罚可能年后会下来。”   事实上,该券商负责人所透露的检查,正是证监会去年12月4日宣布的,以“问题和风险”为导向抽取部分证券期货经营机构所开展的专项检查。   根据证监会的既定安排,此次检查共涉及7家券商、1家券商资管子公司、3家基金公司、5家基金子公司、3家期货公司、3家期货风险管理子公司、2家证券投资咨询机构和1家基金销售公司。   有业内人士透露,早在专项检查的宣布月内,部分监管人员就已对部分机构“入场”,检查工作也颇为细致。   “当时也想了如何应对,后来(基金业)协会来了人,待了一天,查得比较细,问这问那的,虽然当时公司有了准备,但应对还是蛮吃力。”一家被抽查的基金子公司人士透露,“比如说一些嵌套项目背后的投资方向究竟是什么之类的,主要被查的都是一些设计相对复杂的项目。”   而据前述券商后台部门负责人透露,监管层此次遴选专项检查对象的依据之一是考察其业务规模的增长情况,在此次被抽查的25家机构中,多数机构的相关业务增长较为迅猛。   “这次被检查的机构,大多数是业务排名靠前,或增长速度过快的,我们猜测监管的选择逻辑是,如果业务规模增长过快,那么有可能机构存在过分重视业务而忽视风控的可能。”前述后台部门负责人表示,“虽然有些枪打出头鸟的味道,但我们觉得这样选择也是有道理的,因为一个机构的业务异常增长,即便合规,也有理由对原因进行了解。”   21世纪经济报道记者获悉,一家资产托管规模较为靠前的银行系基金子公司,就由于其规模的快速增长而成为此次抽查的对象,而检查过后,该子公司的相关问题已被监管层所掌握。   据前述后台部门负责人透露,目前针对前述25家机构的检查工作已基本完成,而部分机构亦有问题在检查中暴露,监管层有可能在不久后对相关机构作出行政监管措施甚至处罚决定。   “这次被检查的不少机构可能都被查出了些问题,而监管层可能也会作出一些处罚措施。”前述券商后台负责人称,“这些处罚对机构的监管评级也好,业务规模也好,总会有些影响。”   事实上,在证监会此前的表态中,已对发现问题的查处事宜予以了明确。“对检查发现的违法违规行为,证监会将依法从严查处,切实维护市场秩序,保护投资者合法权益。”   机构监管或将从严   值得一提的是,对部分机构的抽查和查处,或许只是当前机构合规性监管趋严的一个“横切面”。   “2016年机构监管可能会更加严格,无论是对于业务的合规性还是可能存在的风险隐患。”前述券商后台负责人表示,“监管层有可能会采取更加高频次、更加细致化的方法进行业务检查。”   事实上,机构合规问题查处从严的迹象已在此前民生证券前营业部负责人涉嫌诈骗案一事的处理中就能管窥。   彼时,民生证券山西太原营业部负责人因涉嫌合同诈骗而被有关部门带走,而民生证券更是被监管层作出了长达6个月不能开户的监管处罚,而在业内人士看来,该处罚程度在业内已较为严厉,而这在一定程度上反映了管理层对机构合规等问题的容忍度正在下降。   同时,证监会证券基金机构监管部还在一份通报要求机构要进一步加强分支机构、分支机构负责和从业人员的管理。   “6个月的禁止开户还是非常严厉的,”华西证券一位合规部门人士表示,“从这个处罚程度能够看出监管层正在对机构违规采取更加严格的监管措施。”   而在业内人士看来,监管层之所以施行更加严厉监管政策,与去年疏于监管下场外配资业务诱发A股波动加剧所带来的监管警觉不无关联。   “去年场外配资活动中,一些机构从中违规地提供了便利,诱发了A股不合理的杠杆结构和剧烈波动,甚至一度险些出现了流动性危机。”一位接近监管层的券商经纪业务负责人指出,“强化对机构的监管,也是防范系统性金融风险,健全和完善资本市场的重要组成部分。”   此外,在业内人士看来,证监会机构监管负责人的变动也成为了机构监管严化的原因之一。   在证监会新的领导分工中,去年刚刚赴任的副主席李超成为了分管机构业务的负责领导,同时李超与另一位副主席姜洋在工作中互为AB角,而李超掌舵机构部与私募部,亦被业内视为监管层严化监管的有效“助力”。   “机构监管严格化,某种程度上可能也得益于新的分管会领导的上任,李超在这方面比较重视,也很有魄力。”一位接近监管层的基金公司人士表示,“很多时候,要打破原有的利益格局,一个新的领导通常也是有效的。” 进入【新浪财经股吧】讨论相关的主题文章: