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场外配资监管早已展开

来源: 南方日报网络版     时间: 2019年11月20日 00:37:21
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(  监)(管)(层)(有)(关)(场)(外)(配)(资)(的)(相)(关)(监)(管)(措)(施)(在)(上)(周)(末)(引)(发)(市)(场)(关)(注)(。上)(证)(报)(记)(者)(从)(券)(商)(处)(了)(解)(到)(,此)(次)(监)(管)(行)(动)(并)(非)(突)(然)(袭)(击)(,而)(是)(继)(4月)(17日)(证)(监)(会)(通)(报)(证)(券)(公)(司)(融)(资)(融)(券)(业)(务)(开)(展)(情)(况)(之)(后)(的)(持)(续)(监)(管)(。
  记)(者)(了)(解)(到)(,上)(周)(末)(有)(券)(商)(向)(旗)(下)(分)(支)(机)(构)(下)(发)(关)(于)(全)(面)(自)(查)(、自)(纠)(参)(与)(场)(外)(配)(资)(、为)(场)(外)(配)(资)(提)(供)(服)(务)(或)(便)(利)(等)(相)(关)(问)(题)(的)(通)(知)(,要)(求)(营)(业)(部)(自)(查)(“与)(恒)(生)(电)(子)(签)(订)(协)(议)(利)(用)(HOMS系)(统)(为)(客)(户)(间)(配)(资)(提)(供)(服)(务)(或)(便)(利)(等)(行)(为)(。”
  相)(关)(人)(士)(透)(露)(,此)(次)(券)(商)(自)(查)(源)(自)(上)(周)(监)(管)(部)(门)(组)(织)(部)(分)(券)(商)(参)(加)(会)(议)(,对)(一)(些)(未)(能)(有)(效)(落)(实)(此)(前)(监)(管)(要)(求)(的)(券)(商)(提)(出)(了)(严)(格)(的)(自)(查)(、自)(纠)(要)(求)(。
  中)(国)(证)(监)(会)(于)(4月)(17日)(通)(报)(证)(券)(公)(司)(融)(资)(融)(券)(业)(务)(开)(展)(情)(况)(,明)(确)(规)(定)(“不)(得)(以)(任)(何)(形)(式)(参)(与)(场)(外)(股)(票)(配)(资)(、伞)(形)(信)(托)(等)(活)(动)(,不)(得)(为)(场)(外)(股)(票)(配)(资)(、伞)(形)(信)(托)(提)(供)(数)(据)(端)(口)(等)(服)(务)(或)(便)(利)(”。据)(了)(解)(,在)(此)(之)(后)(,多)(数)(券)(商)(开)(始)(停)(止)(新)(开)(利)(用)(HOMS系)(统)(进)(行)(的)(场)(外)(配)(资)(账)(户)(,同)(时)(对)(存)(量)(账)(户)(进)(行)(逐)(步)(清)(理)(。但)(少)(数)(券)(商)(相)(关)(工)(作)(开)(展)(较)(慢)(,出)(现)(了)(场)(外)(配)(资)(需)(求)(“搬)(家)(”的)(现)(象)(,引)(起)(同)(业)(不)(满)(和)(投)(诉)(,由)(此)(引)(发)(新)(一)(轮)(集)(中)(监)(管)(措)(施)(。
  据)(恒)(生)(电)(子)(方)(面)(介)(绍)(,引)(起)(监)(管)(层)(关)(注)(的)(HOMS系)(统)(是)(基)(于)(目)(前)(绝)(大)(部)(分)(公)(募)(基)(金)(使)(用)(的)(恒)(生)(O32投)(资)(交)(易)(管)(理)(系)(统)(而)(来)(,已)(经)(备)(案)(的)(阳)(光)(私)(募)(,包)(括)(其)(他)(的)(合)(格)(投)(资)(人)(,只)(要)(投)(资)(行)(为)(是)(合)(规)(的)(,可)(以)(正)(常)(使)(用)(HOMS这)(个)(投)(资)(工)(具)(。券)(商)(自)(查)(需)(要)(核)(实)(哪)(些)(账)(户)(和)(资)(金)(属)(于)(配)(资)(性)(质)(的)(,然)(后)(不)(给)(予)(端)(口)(连)(接)(的)(方)(便)(。恒)(生)(电)(子)(方)(面)(也)(表)(示)(,类)(似)(核)(查)(早)(几)(周)(已)(经)(在)(陆)(续)(落)(实)(。
  HOMS及)(其)(他)(类)(似)(系)(统)(的)(实)(际)(作)(用)(是)(将)(单)(个)(证)(券)(账)(户)(分)(拆)(成)(多)(个)(独)(立)(运)(作)(的)(子)(账)(户)(,以)(实)(现)(独)(立)(清)(算)(,也)(为)(使)(用)(杠)(杆)(的)(子)(账)(户)(到)(达)(止)(损)(线)(后)(强)(制)(平)(仓)(提)(供)(技)(术)(上)(的)(可)(能)(。使)(用)(类)(似)(系)(统)(,子)(账)(户)(杠)(杆)(率)(可)(以)(远)(远)(突)(破)(使)(用)(融)(资)(融)(券)(所)(能)(达)(到)(的)(2倍)(杠)(杆)(,同)(时)(不)(受)(两)(融)(标)(的)(限)(制)(。
  国)(泰)(君)(安)(非)(银)(团)(队)(表)(示)(,其)(周)(末)(调)(研)(数)(家)(上)(市)(证)(券)(公)(司)(法)(律)(合)(规)(部)(等)(部)(门)(及)(营)(业)(部)(等)(分)(支)(机)(构)(,没)(有)(听)(说)(周)(末)(监)(管)(层)(加)(强)(严)(厉)(排)(查)(甚)(至)(要)(求)(客)(户)(平)(仓)(的)(消)(息)(,监)(管)(力)(度)(和)(之)(前)(几)(周)(一)(样)(。涉)(及)(事)(件)(的)(相)(关)(券)(商)(更)(多)(是)(个)(案)(。
  业)(内)(人)(士)(分)(析)(,监)(管)(层)(收)(紧)(场)(外)(配)(资)(在)(4月)(下)(旬)(就)(已)(开)(始)(进)(行)(,其)(对)(市)(场)(的)(影)(响)(在)(过)(去)(一)(个)(月)(间)(已)(逐)(渐)(释)(放)(。此)(轮)(监)(管)(措)(施)(主)(要)(旨)(在)(敦)(促)(部)(分)(券)(商)(落)(实)(此)(前)(监)(管)(要)(求)(。事)(件)(或)(在)(短)(期)(内)(给)(市)(场)(带)(来)(情)(绪)(层)(面)(的)(冲)(击)(,但)(对)(资)(金)(面)(的)(实)(质)(影)(响)(有)(限)(。
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