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中證監修改證券公司股權管理規定 降低主要股東門檻
阿思達克 03-22 14:53
中證監上周五(19日)發布《關於修改<證券公司股權管理規定>的決定》及配套規定,自2021年4月18日起施行。

《股權規定》修訂內容主要涉及以下幾個方面:一是參考國內外金融監管經驗,結合證券公司股權日漸分散的趨勢,將證券公司主要股東從「持有證券公司25%以上股權的股東或者持有5%以上股權的第一大股東」調整為「持有證券公司5%以上股權的股東」。

二是適當降低證券公司主要股東資質要求,取消主要股東具有持續盈利能力的要求;將主要股東淨資產從不低於2億元人民幣(下同)調整為不低於5,000萬元等。

三是落實新《證券法》,調整證券公司變更註冊資本、變更5%以上股權的實際控制人相關審批事項。四是對新問題予以規制,為新情況留出空間。包括禁止證券公司股權相關的「對賭協議」,完善控股股東變更為唯一股東的備案程序,明確單個非金融企業實際控制證券公司股權比例不得超過50%的例外情形;進一步明確對上市證券公司、股份轉讓系統掛牌證券公司持有5%以下股權的股東可以免除適用的條款等。

中港券商股今天普遍上升,市場預期新規可降低證券公司主要股東門檻。中信證券(06030.HK)現升3.5%,成交額5.4億元;海通證券(06837.HK)現升2.1%,成交額1.05億元;中州證券(01375.HK)現升2%,成交額696.4萬元;廣發證券(01776.HK)現升3.1%,成交額4,029.7萬元;華泰證券(06886.HK)現升3.9%,成交額8,313.8萬元。

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