中(zhong)證網(wang)訊（記(ji)者 胡(hu)雨(yu)）廣(guang)發證券(quan)官網(wang)日前發布公告，為加強風(feng)險管理，防范兩融業務風(feng)險，公司(si)決定禁止融資買入(ru)證券(quan)用于償(chang)還融券(quan)負債，即(ji)信用賬戶中(zhong)現(xian)券(quan)持倉少于融資合約數量時(shi)不允許現(xian)券(quan)還券(quan)。根(gen)據公司(si)安排，本次調整自今日，即(ji)2024年(nian)1月(yue)15日起生效。 

　　根(gen)據廣發證券(quan)(quan)業(ye)(ye)務(wu)條線劃分，融(rong)(rong)(rong)資(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)業(ye)(ye)務(wu)歸屬于公(gong)(gong)司財富(fu)管(guan)理(li)業(ye)(ye)務(wu)板塊(kuai)，后者通過提供經紀和投資(zi)(zi)顧(gu)問(wen)服務(wu)賺取(qu)(qu)手續費、顧(gu)問(wen)費及(ji)傭金(jin)(jin)，從(cong)融(rong)(rong)(rong)資(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)、回購交易、融(rong)(rong)(rong)資(zi)(zi)租賃及(ji)客(ke)(ke)戶交易結算資(zi)(zi)金(jin)(jin)管(guan)理(li)等賺取(qu)(qu)利息收入，代銷公(gong)(gong)司及(ji)其他(ta)金(jin)(jin)融(rong)(rong)(rong)機構開發的金(jin)(jin)融(rong)(rong)(rong)產品賺取(qu)(qu)手續費。根(gen)據廣發證券(quan)(quan)2023年(nian)(nian)半(ban)年(nian)(nian)報，2023年(nian)(nian)上(shang)半(ban)年(nian)(nian)，公(gong)(gong)司融(rong)(rong)(rong)資(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)業(ye)(ye)務(wu)立(li)足業(ye)(ye)務(wu)本(ben)源，堅持“客(ke)(ke)戶中心(xin)導向”，在做好(hao)客(ke)(ke)戶服務(wu)、合規風控的同時，促進業(ye)(ye)務(wu)健康有序發展，截至2023年(nian)(nian)6月末，公(gong)(gong)司融(rong)(rong)(rong)資(zi)(zi)融(rong)(rong)(rong)券(quan)(quan)業(ye)(ye)務(wu)期末余額為854.21億元(yuan)，較2022年(nian)(nian)末增加2.89%，市(shi)場占有率5.38%。

　　梳理(li)發(fa)現，自2023年10月上交(jiao)(jiao)所(suo)(suo)、深交(jiao)(jiao)所(suo)(suo)發(fa)布(bu)《關于(yu)優化融(rong)券(quan)交(jiao)(jiao)易(yi)和轉融(rong)通證(zheng)券(quan)出借(jie)交(jiao)(jiao)易(yi)相關安排的(de)通知(zhi)(zhi)》，及北(bei)京證(zheng)券(quan)交(jiao)(jiao)易(yi)所(suo)(suo)發(fa)布(bu)《關于(yu)優化融(rong)券(quan)交(jiao)(jiao)易(yi)相關安排的(de)通知(zhi)(zhi)》后，包括廣發(fa)證(zheng)券(quan)在(zai)內的(de)多家券(quan)商陸(lu)續對其兩融(rong)業務(wu)合同(tong)條款進行修訂。

　　以國金證(zheng)券(quan)(quan)為例，其(qi)在(zai)2023年11月便發布《關(guan)(guan)于進一步(bu)落實交(jiao)易所優(you)化融(rong)券(quan)(quan)交(jiao)易相關(guan)(guan)安排的(de)公(gong)(gong)告(gao)》，明確投(tou)資(zi)者(zhe)持(chi)有(you)上市(shi)公(gong)(gong)司(si)限(xian)(xian)售(shou)股(gu)(gu)(gu)份(fen)、戰略配售(shou)股(gu)(gu)(gu)份(fen)，以及(ji)(ji)持(chi)有(you)以大宗交(jiao)易方(fang)式受讓的(de)大股(gu)(gu)(gu)東(dong)或(huo)者(zhe)特定股(gu)(gu)(gu)東(dong)減持(chi)股(gu)(gu)(gu)份(fen)等有(you)轉讓限(xian)(xian)制(zhi)的(de)股(gu)(gu)(gu)份(fen)的(de)，在(zai)限(xian)(xian)制(zhi)期內(nei)，投(tou)資(zi)者(zhe)及(ji)(ji)其(qi)關(guan)(guan)聯方(fang)不得融(rong)券(quan)(quan)賣(mai)出該上市(shi)公(gong)(gong)司(si)股(gu)(gu)(gu)票；投(tou)資(zi)者(zhe)及(ji)(ji)其(qi)關(guan)(guan)聯方(fang)在(zai)獲(huo)得前述(shu)規定的(de)相關(guan)(guan)股(gu)(gu)(gu)份(fen)前，如有(you)尚未了(le)結的(de)該上市(shi)公(gong)(gong)司(si)股(gu)(gu)(gu)票融(rong)券(quan)(quan)合(he)(he)約(yue)的(de)，應當(dang)在(zai)獲(huo)得相關(guan)(guan)股(gu)(gu)(gu)份(fen)前了(le)結融(rong)券(quan)(quan)合(he)(he)約(yue)。公(gong)(gong)司(si)隨后(hou)在(zai)2023年12月發布關(guan)(guan)于修(xiu)訂(ding)《國金證(zheng)券(quan)(quan)股(gu)(gu)(gu)份(fen)有(you)限(xian)(xian)公(gong)(gong)司(si)融(rong)資(zi)融(rong)券(quan)(quan)合(he)(he)同》條(tiao)款(kuan)的(de)公(gong)(gong)告(gao)，新修(xiu)訂(ding)合(he)(he)同條(tiao)款(kuan)涉及(ji)(ji)限(xian)(xian)售(shou)股(gu)(gu)(gu)不得融(rong)券(quan)(quan)、需承諾(nuo)不會利用多個(ge)賬戶發生(sheng)不正(zheng)當(dang)套利交(jiao)易等內(nei)容。