據報中證監將對券商實施全面風險管理現場檢查「全覆蓋」
據《中國證券報》引述中國證監會近期對16家證券公司全面風險管理落實情況開展現場檢查發現,被檢查公司在落實全面風險管理要求上不同程度地存在一些問題,主要分為五大類。
中證監表示,將對尚未開展全面風險管理檢查的證券公司實施「全覆蓋」現場檢查,適時對已檢查公司的整改情況開展「回頭看」專項檢查,對發現的問題,將依法嚴肅處理。
據悉,此次現場檢查重點關注證券公司落實全面風險管理的有效性,包括風險管理水平與業務的適配度,風險計量模型和監測分析的可靠性,風險限額和管控機制的執行力,風險預警、報告、反饋、應對、處置鏈條的完備性等,並對風險個案頻發的證券公司信用類業務、自營債券交易、境外子公司管控情況等領域給予特別關注。(ta/a) ~
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