market in a situation that is often a policy on the countermeasures, there are always thinking of ways to take shortcuts! Thus, there has been a series of violations. Beijing securities regulatory bureau, a subsidiary of the fund thoroughly, showing how the specific situation? Let’s get together.
reporter learned from a number of base gold company was informed that the regulatory authorities have issued a notice last weekend, requiring fund subsidiary statistics their respective information table, and on May 25th (Wednesday) before the feedback.
notification issued under the Department of Beijing securities regulatory bureau organization three, and when the object is a subsidiary of the fund to carry out business in the area, it is worth mentioning that, as of press time before, Shanghai and other areas of a subsidiary of the fund who has not yet received the notice and reflect the statistical template.
reporter learned that regulators are statistical content including but not limited to fund the parent company subsidiary company, the parent company part-time salaried staff, parent company, subsidiary equity investment proportion and subsidiary business case etc..
the regulatory system as can be imagined, for statements, and a beginning or will become a subsidiary of the fund "strict control". The recent regulatory changes for the fund subsidiary has long been brewing.
reporter reported previously exclusive, regulators have internal form for the fund subsidiary has a great influence on two documents, "the fund management company specific customer asset management subsidiary risk control guidelines" (risk control guidelines), "securities investment fund management subsidiary management regulations", the former is a subsidiary of the fund the net capital as the core risk control index system, the latter emphasizes a subsidiary of the fund shareholders’ qualification, the establishment of standards to raise the threshold.
in addition, regulators also formed the new revised "Securities and futures business institutions to implement the asset management business of the" eight line "prohibited behavior rules" (eight line rules) (Draft), the new regulations made the stock, mixed asset management leverage up to more than 1 times, futures, fixed return, non-standard class information management plan shall not exceed 3 times leverage, and in addition to other types of asset management plan shall not exceed 2 times leverage and other information management products and information management products reducing leverage policy.
it is worth mentioning that, according to the latest reporters from people close to the regulators at the master’s point of view, the outline of the net capital regulation framework of risk control indicators "guidelines" only in the formation stage and earlier media reports that "the facts and documents have been issued to fund subsidiaries" does not match, but the "eight line" rules for is issued to the part of the information management mechanism.
for the fund subsidiary, regulators of adjustment and internal reasons drafting multiple documents to strengthen supervision, and indeed recommended