The Great Wall securities issued a warning letter, securities into new three board regulatory new fo-vidown

The Great Wall securities brokerage issued a letter of warning into three new board new regulatory focus – Sohu securities reporter Gu Feng Beijing reported following the National SME share transfer system (hereinafter referred to as "the national stock transfer company") take disciplinary measures on abnormal bidding events after Guotai junan. In February 24th, the shares of the company issued another self regulatory measures for securities, the Great Wall securities Limited by Share Ltd (hereinafter referred to as the "the Great Wall securities") did not fulfill the duties of the investor proper management, the related stock movements investors appropriate recognition and investment opened the existence of violations of jurisdiction, the national stock transfer company decided to take issue a letter of warning, ordered to correct self regulatory measures on it. In addition, the stock transfer system issued in January 29th issued by the National SME stock transfer system sponsor broker practice quality evaluation method (trial). 2016 will become a veritable "new three board securities" regulatory year". Securities regulatory norms focus on the the Great Wall securities were punished due to inappropriate review of the appropriateness of investors. According to the shares of the company’s monthly bulletin, 1 2016 11, Great Wall Securities for opening in the listing company materials related to the transfer of shares publicly in the audit authority partnership customers, not due diligence paid in capital verification certificate, only according to the partnership agreement that the full implementation of 500 million yuan RMB capital asset requirements. Investors do not fulfill their obligations in information submitted to the correct case in the system for the opening of the unilateral listed company involved in the transfer of shares publicly authority, leading to the partnership in January 12, 2016, exceeding buying shares of the listed company. According to the above, the shares of the company decided to issue a warning letter, it shall be ordered to correct self regulatory measures on the Great Wall securities, asking them to complete the rectification within the time specified in the appropriate management of investor, and submit rectification report. Then, turn the country shares also said the company will strictly enforce the management of investors, for hosting brokerage, not strictly fulfill the obligations of the management of investors once found, immediately. At the same time, the future will be regularly or irregularly on the performance of hosting broker investors in the management of the obligation to carry out on-site inspection, strengthen the hosting broker the things in the post regulation, to protect the interests of investors, maintaining the market order. The Great Wall securities is not the only broker recently punished by the national stock transfer company. In January 29th, the shares of the company due to abnormal events to make quotation "give Guotai Junan Securities Limited by Share Ltd publicly condemned, giving Wang Shihong publicly condemned to give Chen Yang, Li Zhongkai criticized the decision. Subsequently, the evening of February 16th, Guotai Junan announcement, Shanghai Securities Regulatory Bureau received administrative regulatory measures "advance notice", including regulatory measures to restrict new market making business three months. It is worth noting that the stock transfer system since the establishment of rare top lattice processing, the SFC level of intervention to show the seriousness of the event. As of the first quarter of 2016, the practice of securities companies has become the focus of regulatory direction. According to the shares of the company’s latest self regulatory measures of information shown in the table, as of February 19th 2016, shares transfer maple

长城证券被出具警示函 券商成新三板监管新重点-搜狐证券   本报记者 谷枫 北京报道  继全国中小企业股份转让系统(下称“全国股转公司”)就国泰君安异常报价事件做出纪律处分后。2月24日,全国股转公司再次发布针对券商的自律监管措施,长城证券股份有限公司(以下简称“长城证券”)未切实履行投资者适当性管理职责,在投 相关公司股票走势 资者适当性认定及开通投资者权限方面存在违规行为,全国股转公司决定对其采取出具警示函、责令改正的自律监管措施。  再加上股转系统1月29日发布的《全国中小企业股份转让系统主办券商执业质量评价办法(试行)》。  2016年将成为名副其实的新三板券商“监管年”。  券商成监管规范重点  此次长城证券被处罚源于对投资者适当性的审查不当。  根据全国股转公司的通报,2016年1月11日,长城证券在审核合伙企业客户申请开通参与挂牌公司股票公开转让权限的相关材料时,未勤勉尽职核查其实缴出资证明文件,仅根据合伙协议认定其满足实缴资本500万元以上人民币的资产要求。在未正确履行投资者信息报送义务的情形下,于系统内单边为其开通了参与挂牌公司股票公开转让的权限,导致该合伙企业于2016年1月12日,越权买入挂牌公司股票。  根据上述情况,全国股转公司决定对长城证券采取出具警示函、责令改正的自律监管措施,要求其在规定时间内完成投资者适当性管理的整改,并提交整改报告。  随后,全国股转公司还表示将严格实施投资者适当性管理,对于未严格履行投资者适当性管理义务的主办券商,一旦发现,立即处理。与此同时,未来将定期或不定期就主办券商履行投资者适当性管理义务开展现场检查,加强对主办券商的事中事后监管,保护投资者权益,维护市场秩序。  长城证券并不是近期唯一被全国股转公司处罚的券商。  1月29日,全国股转公司因异常报价事件做出“给予国泰君安证券股份有限公司公开谴责,给予王仕宏公开谴责,给予陈扬、李仲凯通报批评”的决定。  随后,2月16日晚间,国泰君安公告,收到上海证监局《行政监管措施事先告知书》,监管措施包括限制新增做市业务三个月等。值得注意的是,是股转系统成立以来罕见的顶格处理,此次证监会层面的介入更显事件之严重性。  截至2016年第一季度,券商的执业情况成为了监管重点关注的方向。  根据全国股转公司最新发布的自律监管措施信息表中显示,截至2月19日,2016年股转系统一共做出了9次自律监管,其中针对券商做出的自律监管措施有6次,国泰君安和长城证券正是这6家中的两家。  其中,全国股转公司在1月5日对英大证券出具了警示函,起因是英大证券在为明利仓储提供做市服务的过程中,以大幅偏离行情揭示的最近成交价的价格申报并成交,导致该股股价和三板做市指数盘中出现巨幅振动。  1月6日,全国股转公司又对第一创业证券公司出具警示函,并责令其改正。原因是第一创业作为主办券商未严格执行全国股转系统投资者适当性管理的各项要求,未正确履行合格投资者报送义务,构成违规。  除此之外,中泰证券和开源证券还分别因为券自营账户参与其做市股票的买卖和券商自营账户与做市账户同时持有同一只做市股票被全国股转公司处罚。  “2016年的第一季度,股转系统就对多家券商做出了自律监管措施,针对券商扮演的角色也从主办券商,做市商到营业部投资者审核,所涉及事项也都不尽相同,这说明今年券商的新三板业务是监管的重点。”一位北京金诚同达律师事务所的律师对记者表示。  搭建券商监管体系  事实上,年初全国股转公司频频出手的背后,正是要配合针对券商新三板执业监管体系的全面搭建。  “根据主办券商制度运行两年多以来的情况,我们在日常监管过程中发现,主办券商执业过程中出现大量未明确违反规则、但同时表现为执业质量低下的行为,反映出主办券商管理层合规意识薄弱、从业人员经验不足、执业态度不严谨等问题。在此情况下,有必要在实施自律监管措施之外,采用更为温和、覆盖面更广的监管手段,即执业质量评价制度。”一位接近股转系统的内部人士表示。  1月29日,全国股转系统正式发布《全国中小企业股份转让系统主办券商执业质量评价办法(试行)》,将对主办券商进行执业质量评价。  据记者了解,该体系以主办券商各项业务出现的执业质量负面行为记录为基础,结合自律监管措施、纪律处分、行政监管措施和行政处罚,以及主办券商对新三板发展的贡献及其他对评价有重要影响的事项,对主办券商执业质量进行评价。  与此同时,已取得推荐、经纪或做市业务备案函的所有主办券商都将被纳入评价系统,主办券商控股的证券子公司参与新三板相关业务,合并纳入母公司评价。  “很多人说新三板的审核机制接近注册制,其实,如果实行注册制,主办券商(所承担的责任就大了,主办券商和交易所在防范逆向选择风险方面承担着主要作用,所以强化主办券商的执业质量也是培育更真实的注册制的一个切实行动。”一位新三板的市场人士表示。(编辑 李新江)  作者:谷枫相关的主题文章: