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監管層繼續重拳整治ABS領域中的違規行為 長城證券接到監管警示
格隆匯 09-24 00:01
據中國基金報,近日,長城證券的ABS業務違反了相關規定,深圳證監局決定對其採取出具警示函監督管理措施。Wind數據統計,截止9月23日,長城證券承銷ABS項目共30個,從基礎類型上看,應收賬款、企業債權佔比較高,長城證券承銷的ABS項目合計金額139.62億元,全行業排名第21位。今年以來,各地證監局繼續排查ABS業務中的風險漏洞,也陸續對相關方作出處罰決定,包括華林證券、開源證券、華泰聯合證券均接到ABS方面的罰單。
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