繼(ji)4家基金公(gong)司因(yin)分紅(hong)前(qian)(qian)后(hou)(hou)的不妥行為受(shou)到處罰后(hou)(hou),日前(qian)(qian)上海又(you)有3家基金公(gong)司因(yin)疑(yi)似通道業(ye)務(wu)而受(shou)到有關部門查詢,再(zai)加上之前(qian)(qian)貨幣基金不再(zai)列入規(gui)模排名(ming),基金業(ye)這場正本(ben)清源的監管行為給行業(ye)帶(dai)來深(shen)刻的影響。
根(gen)據相關規定,投(tou)資者(zhe)從基金分配中取得的(de)收入暫不征收所得稅(shui)。這一政策自實(shi)施以來,整(zheng)體效果良好,對促(cu)進公募基金行業發(fa)展發(fa)揮了重要(yao)作用。
但是,這一政策卻被一些公(gong)(gong)司(si)濫用了,甚至有(you)個別公(gong)(gong)司(si)的(de)銷售人員(yuan),由于操作(zuo)過于粗放而引(yin)發事端。據了解,監管(guan)(guan)部(bu)門最(zui)終認定,相關基(ji)金(jin)(jin)公(gong)(gong)司(si)存在兩方面的(de)問題:一是信息(xi)管(guan)(guan)理(li)及保密(mi)等內控制度未(wei)得到(dao)有(you)效(xiao)執行(xing);二是未(wei)審慎辦理(li)基(ji)金(jin)(jin)申(shen)購贖回業務。因此,對負有(you)管(guan)(guan)理(li)責(ze)任的(de)公(gong)(gong)司(si)高管(guan)(guan)等,采取監管(guan)(guan)談話行(xing)政監管(guan)(guan)措施(shi),同時責(ze)令(ling)公(gong)(gong)司(si)整(zheng)改(gai),期(qi)間暫停公(gong)(gong)司(si)公(gong)(gong)募基(ji)金(jin)(jin)產品注冊申(shen)請,并令(ling)公(gong)(gong)司(si)按要求提交整(zheng)改(gai)報告(gao)。
提前透(tou)露分(fen)紅(hong)時(shi)間和(he)金額來吸引機構資(zi)(zi)金,這在(zai)業(ye)內并非個別現(xian)象,此次的(de)監(jian)管行為(wei)也極大(da)觸動了行業(ye)固有(you)的(de)一些認識。分(fen)紅(hong)免(mian)稅的(de)原(yuan)意(yi)是避免(mian)部分(fen)雙重征稅,而不是肆(si)意(yi)濫用紅(hong)利(li)。而基(ji)(ji)金分(fen)紅(hong)的(de)原(yuan)意(yi),是基(ji)(ji)金根據(ju)自己的(de)投(tou)資(zi)(zi)判斷(duan)或者(zhe)合同約定(ding),選擇兌現(xian)部分(fen)盈(ying)利(li)分(fen)配給投(tou)資(zi)(zi)者(zhe)。所以,基(ji)(ji)金應該(gai)按照(zhao)自身投(tou)資(zi)(zi)節奏來決定(ding)分(fen)紅(hong)與否,結合監(jian)管要(yao)求建(jian)立健全基(ji)(ji)金分(fen)紅(hong)信(xin)息管控(kong)機制,嚴格(ge)規(gui)范(fan)基(ji)(ji)金分(fen)紅(hong)行為(wei),審慎辦理基(ji)(ji)金分(fen)紅(hong)敏感期間大(da)額資(zi)(zi)金的(de)申購(gou)贖回(hui)業(ye)務。
近(jin)期上海3家基(ji)金公(gong)(gong)(gong)司因(yin)市(shi)場對其(qi)公(gong)(gong)(gong)募產品(pin)疑(yi)似通道(dao)業務的(de)(de)質疑(yi),也受(shou)到了(le)有關部門的(de)(de)查詢。如果多個公(gong)(gong)(gong)募產品(pin)背后(hou)為同(tong)(tong)一資金,以(yi)致買賣(mai)行(xing)為極端趨同(tong)(tong),這(zhe)一方(fang)面有不(bu)公(gong)(gong)(gong)平對待其(qi)他(ta)持有人的(de)(de)隱患,另一方(fang)面,這(zhe)也讓人對公(gong)(gong)(gong)募產品(pin)投資管理權的(de)(de)使用(yong)歸屬產生疑(yi)問。
中國基(ji)金業發(fa)(fa)展正迎來(lai)正本清源的歷史時刻,我(wo)們需要(yao)認識到整體環境(jing)的變化(hua),不要(yao)心存(cun)僥(jiao)幸,而要(yao)在投(tou)資管理能力、產品設計和內控制度(du)上發(fa)(fa)力,踏(ta)踏(ta)實實地(di)在正確的方向上行(xing)進。
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