據新華社消(xiao)息,28日召開(kai)的(de)中央全面深化(hua)改革委員會第一次會議審議通過了《關(guan)于規范金(jin)融(rong)(rong)機構資產管理業務的(de)指導(dao)意(yi)見(jian)》《關(guan)于加強非金(jin)融(rong)(rong)企業投資金(jin)融(rong)(rong)機構監管的(de)指導(dao)意(yi)見(jian)》。
這意味著,數日前中(zhong)國(guo)人(ren)民銀行行長易綱提及的(de)(de)補齊監管(guan)短板的(de)(de)三(san)份文(wen)件,有兩份即將公布(bu),金融監管(guan)正(zheng)從制度(du)上強調監管(guan)姓“監”,遠(yuan)離“牛欄(lan)關貓(mao)”、“鐵路警察(cha)各管(guan)一(yi)段”的(de)(de)現象。
會議(yi)指出,規(gui)(gui)范(fan)金(jin)融機構資產(chan)管(guan)(guan)(guan)(guan)理(li)(li)業(ye)務,要立足整(zheng)個資產(chan)管(guan)(guan)(guan)(guan)理(li)(li)行業(ye),堅持宏觀審慎(shen)管(guan)(guan)(guan)(guan)理(li)(li)和微觀審慎(shen)監管(guan)(guan)(guan)(guan)相(xiang)結合(he)、機構監管(guan)(guan)(guan)(guan)和功能監管(guan)(guan)(guan)(guan)相(xiang)結合(he),按照資產(chan)管(guan)(guan)(guan)(guan)理(li)(li)產(chan)品的類型統一監管(guan)(guan)(guan)(guan)標準(zhun),實行公(gong)平的市場(chang)準(zhun)入和監管(guan)(guan)(guan)(guan),最大程(cheng)度消除監管(guan)(guan)(guan)(guan)套利空間,促進資產(chan)管(guan)(guan)(guan)(guan)理(li)(li)業(ye)務規(gui)(gui)范(fan)發展。
《關(guan)于(yu)規范金融機構資(zi)產管理(li)業(ye)務(wu)的(de)指導意見》被(bei)市場(chang)稱(cheng)為(wei)資(zi)管新規,于(yu)去年11月(yue)向社(she)會(hui)公開征求意見,但正式稿一直遲遲未(wei)出臺。中(zhong)國人民銀行(xing)2月(yue)曾表示,做(zuo)好(hao)資(zi)管新規社(she)會(hui)意見的(de)研(yan)究吸(xi)收工作(zuo),會(hui)同相關(guan)部門(men)進行(xing)修(xiu)改(gai)完(wan)善,按程序報請(qing)國務(wu)院批準發布(bu)。
本(ben)報在全(quan)國(guo)兩會期間曾經報道,資管(guan)新(xin)規正式稿很快就將出臺實(shi)施。為(wei)了配合資管(guan)新(xin)規,相關監管(guan)部門對現行(xing)監管(guan)規則進行(xing)了系統梳理,研究(jiu)借鑒國(guo)內外(wai)監管(guan)實(shi)踐(jian),起(qi)草了銀行(xing)理財業務監管(guan)辦法,擬(ni)作(zuo)為(wei)資管(guan)新(xin)規配套(tao)細則適時發(fa)布實(shi)施。
會議還強(qiang)調(diao),加強(qiang)非(fei)金(jin)融(rong)企業投(tou)(tou)資(zi)金(jin)融(rong)機(ji)(ji)構(gou)(gou)監(jian)(jian)管(guan),要(yao)堅持(chi)問題導(dao)向、補齊監(jian)(jian)管(guan)短板,明確企業投(tou)(tou)資(zi)金(jin)融(rong)機(ji)(ji)構(gou)(gou)服務實(shi)體經濟的(de)目標,強(qiang)化股東資(zi)質、股權(quan)結(jie)構(gou)(gou)、投(tou)(tou)資(zi)資(zi)金(jin)、公(gong)司治(zhi)理和關聯交易監(jian)(jian)管(guan),加強(qiang)實(shi)業與金(jin)融(rong)業的(de)風險隔離,防范風險跨機(ji)(ji)構(gou)(gou)跨業態傳(chuan)遞(di)。
混業(ye)(ye)經營趨勢下(xia),實(shi)體企(qi)業(ye)(ye)投資(zi)金(jin)(jin)融(rong)(rong)(rong)機構的過(guo)程中滋生了亂象。“部(bu)分實(shi)業(ye)(ye)企(qi)業(ye)(ye)熱衷投資(zi)金(jin)(jin)融(rong)(rong)(rong)業(ye)(ye),通過(guo)內幕交(jiao)易(yi)、關聯交(jiao)易(yi)等賺快錢(qian)。”中國人民銀行原行長周(zhou)小川曾在署名(ming)文章(zhang)中指出,建立健全金(jin)(jin)融(rong)(rong)(rong)控股公司規制(zhi)(zhi)和監管(guan),嚴格(ge)限制(zhi)(zhi)和規范非金(jin)(jin)融(rong)(rong)(rong)企(qi)業(ye)(ye)投資(zi)金(jin)(jin)融(rong)(rong)(rong)機構,從制(zhi)(zhi)度上(shang)隔離(li)實(shi)業(ye)(ye)板塊和金(jin)(jin)融(rong)(rong)(rong)板塊。
“一些非(fei)金(jin)融(rong)企業在投資(zi)控股金(jin)融(rong)機構的過(guo)程中,逐(zhu)步暴露出一些問題和(he)(he)風(feng)險(xian)。”人民(min)銀行西(xi)安分行行長(chang)白鶴祥此前接受上證(zheng)報記(ji)者(zhe)采訪時表示,如虛假出資(zi)或者(zhe)循環注資(zi),資(zi)本約束弱(ruo)化;股權安排和(he)(he)金(jin)融(rong)運(yun)作復雜,規避金(jin)融(rong)監管,獲取政(zheng)策套利;盲目擴張金(jin)融(rong)業務,導致(zhi)脫實向虛,金(jin)融(rong)業和(he)(he)實業之(zhi)間的風(feng)險(xian)交(jiao)叉和(he)(he)傳遞加(jia)大等等。
在股權(quan)(quan)結(jie)構方(fang)面,白(bai)鶴祥建議,應(ying)加強信(xin)息披露,嚴(yan)格股權(quan)(quan)管理(li),定期向(xiang)監管機構報(bao)告其治理(li)結(jie)構、股權(quan)(quan)變動、內部交易等情況,提高(gao)公司(si)經營管理(li)的(de)透明度。
中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)聲(sheng)明(ming):凡(fan)本(ben)(ben)網(wang)(wang)(wang)(wang)(wang)注明(ming)“來源(yuan):中(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)券(quan)報(bao)(bao)·中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)”的(de)(de)所(suo)有作(zuo)(zuo)品(pin),版權(quan)均(jun)屬于中(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)券(quan)報(bao)(bao)、中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)。中(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)券(quan)報(bao)(bao)·中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)與(yu)作(zuo)(zuo)品(pin)作(zuo)(zuo)者聯合聲(sheng)明(ming),任何組織未(wei)經(jing)中(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)券(quan)報(bao)(bao)、中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)以及作(zuo)(zuo)者書面授權(quan)不得(de)轉(zhuan)載、摘(zhai)編或利(li)用(yong)(yong)其(qi)(qi)它方(fang)式使用(yong)(yong)上述作(zuo)(zuo)品(pin)。凡(fan)本(ben)(ben)網(wang)(wang)(wang)(wang)(wang)注明(ming)來源(yuan)非(fei)中(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)券(quan)報(bao)(bao)·中(zhong)(zhong)(zhong)證(zheng)(zheng)網(wang)(wang)(wang)(wang)(wang)的(de)(de)作(zuo)(zuo)品(pin),均(jun)轉(zhuan)載自其(qi)(qi)它媒(mei)體,轉(zhuan)載目的(de)(de)在于更好服務讀(du)者、傳遞信息之需,并不代表本(ben)(ben)網(wang)(wang)(wang)(wang)(wang)贊同其(qi)(qi)觀點,本(ben)(ben)網(wang)(wang)(wang)(wang)(wang)亦不對其(qi)(qi)真實性負責(ze),持(chi)異議者應與(yu)原出處單位(wei)主張權(quan)利(li)。
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