華安證券(600909.SH)：私募資產管理業務存在問題 被採取責令改正的行政監管措施
格隆匯11月11日丨華安證券(600909.SH)公佈，2020年11月23日-27日，中國證券監督管理委員會對公司資產管理業務進行現場檢查。近日，公司收到中國證券監督管理委員會安徽監管局(“安徽證監局”)《關於對華安證券股份有限公司釆取責令改正措施的決定》([2021]33 號)，具體情況如下：
“經查，你公司私募資產管理業務存在以下問題：一是不同資產管理計劃賬户間存在違規交易；二是債券投資風險管控不完善，部分產品集中持有單一債券且槓桿率較高、部分債券信用評分標準不明確、未及時調整不符合內部准入規定的交易對手方名單；三是未針對私募資產管理業務的主要業務人員和相關管理人員建立收入遞延支付機制。
上述情況違反了《證券公司監督管理條例》(國務院令第522號)第二十七條、《證券期貨經營機構私募資產管理業務管理辦法》(證監會令第151號)第六十五條、《證券期貨經營機構私募資產管理計劃運作管理規定》(證監會公吿〔2018〕31號)第四十一條的規定。根據《證券公司監督管理條例》(國務院令第522號)第七十條、《證券期貨經營機構私募資產管理業務管理辦法》(證監會令第151號)第七十八條的相關規定，我局決定對你公司採取責令改正的行政監管措施。你公司應當採取有效措施，完善內部管理，切實提升合規風控管理水平。
如果對本監督管理措施不服，可在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請，也可以在收到本決定書之日起6 個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間，上述監督管理措施不停止執行。”
與此同時，安徽證監局對相關責任人員採取監管談話措施。
公司將按監管要求即行整改、差缺補漏，進一步加強資產管理業務的內控管理，切實提升合規風控管理水平。目前公司經營情況一切正常，敬請廣大投資者注意投資風險。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app！
Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.
