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Commission: strengthen the two financial supervisi
发布时间:2015-6-15 17:34:36浏览次数: 1203
Newspaper Beijing, June 12 news reporter effect of sugar reported recently, the China Securities Regulatory Commission has revised the securities margin financing business management approach "(hereinafter referred to as the" management measures ") to seek the views of the public.
China Securities Regulatory Commission attaches great importance to the development of securities companies margin securities lending business, supervision and risk prevention. June 2006, the China Securities Regulatory Commission to develop the securities company margin trading pilot management approach, and in March 2010 to start securities companies margin trading pilot. October 2011, the China Securities Regulatory Commission according to the market development needs to amend the pilot approach, securities companies margin business transferred to the conventional, and then achieved rapid development. At present, the financing securities loan service overall health, risk control, but with the rapid growth of our business and need to to further improve the risk control and prevention measures, optimization of related operational and regulatory provisions, and promote the healthy development of the margin trading and securities lending business.
The revision of "management measures", on the one hand, strengthen the supervision and risk prevention, strengthen the securities company independent adjustment and the request of the business risk prevention, improve the regulatory mechanism, a clear bottom line supervision, to strengthen the protection of the rights and interests of investors, securities company business scale and its own capital strength requirements phase matching; on the other hand, the abolition of the part does not adapt to the business development practical restrictions and enhance the ability of margin trading and securities lending business and capital market and investors.
It is understood, the main contents are as follows: one is to revise the "management approach" by the Commission notice up to department regulations; the two is the establishment of counter cyclical regulation mechanism, macro Prudential Management of financing business; the three is to improve the financing business monitoring mechanism, strengthen the statistical and monitoring responsibilities China securities financial Limited by Share Ltd; four is a clear regulatory bottom line, the provisions of the six act of securities companies to carry out financing business; five is the reasonable control of the business scale of securities companies, the net capital of securities companies and the matching; six is to strengthen the protection of investors' interests, requires securities companies to fully disclose the risks to customers; the seven is to improve the customer participation condition, cancel investors engaged in securities transactions in the same securities company for six months and transaction settlement funds into the third party depository, relaxed professional institutional investors involved in margin trading conditions; eight is to meet the demand of investors long-term investment, allowing the margin agreement reasonable extension; nine is to optimize the margin clients collateral default disposal standards and methods, make it more flexible, reasonable.