中证监修改证券公司股权管理规定 降低主要股东门槛
中证监上周五(19日)发布《关於修改<证券公司股权管理规定>的决定》及配套规定,自2021年4月18日起施行。
《股权规定》修订内容主要涉及以下几个方面:一是参考国内外金融监管经验,结合证券公司股权日渐分散的趋势,将证券公司主要股东从「持有证券公司25%以上股权的股东或者持有5%以上股权的第一大股东」调整为「持有证券公司5%以上股权的股东」。
二是适当降低证券公司主要股东资质要求,取消主要股东具有持续盈利能力的要求;将主要股东净资产从不低於2亿元人民币(下同)调整为不低於5,000万元等。
三是落实新《证券法》,调整证券公司变更注册资本、变更5%以上股权的实际控制人相关审批事项。四是对新问题予以规制,为新情况留出空间。包括禁止证券公司股权相关的「对赌协议」,完善控股股东变更为唯一股东的备案程序,明确单个非金融企业实际控制证券公司股权比例不得超过50%的例外情形;进一步明确对上市证券公司、股份转让系统挂牌证券公司持有5%以下股权的股东可以免除适用的条款等。
中港券商股今天普遍上升,市场预期新规可降低证券公司主要股东门槛。中信证券(06030.HK)现升3.5%,成交额5.4亿元;海通证券(06837.HK)现升2.1%,成交额1.05亿元;中州证券(01375.HK)现升2%,成交额696.4万元;广发证券(01776.HK)现升3.1%,成交额4,029.7万元;华泰证券(06886.HK)现升3.9%,成交额8,313.8万元。
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