中證網訊(記者 孫翔峰)為進一(yi)步提(ti)高市場(chang)合(he)規(gui)運作(zuo)(zuo)整(zheng)體水平,加強(qiang)交(jiao)易所與會(hui)員(yuan)單位(wei)風險監管(guan)業務的交(jiao)流(liu)與溝通,確保市場(chang)監管(guan)工作(zuo)(zuo)有效開展(zhan)和期(qi)貨市場(chang)平穩運行,上期(qi)所近(jin)日召開2019年第(di)二期(qi)期(qi)貨公(gong)司(si)會(hui)員(yuan)合(he)規(gui)監管(guan)座(zuo)談會(hui)。廣(guang)發期(qi)貨、新湖期(qi)貨等16家(jia)期(qi)貨公(gong)司(si)首席風險官(guan)和5家(jia)境外中介(jie)機構主要風控(kong)人員(yuan)參(can)加了座(zuo)談會(hui)。
會(hui)上,上期(qi)所(suo)(suo)就交(jiao)易所(suo)(suo)市場(chang)監管(guan)工(gong)作總體形勢、近期(qi)查處(chu)違法違規新動(dong)態(tai)及現場(chang)檢查發現問題(ti)等向(xiang)會(hui)員單位進行(xing)了(le)通報,并重申會(hui)員加強投(tou)資(zi)者宣(xuan)傳教育工(gong)作的(de)重要性。上期(qi)所(suo)(suo)相(xiang)關負(fu)責人對2019年期(qi)貨公(gong)司技術系統專項檢查工(gong)作要點(dian)進行(xing)了(le)解(jie)讀。同時,座談(tan)會(hui)邀請(qing)了(le)廣發期(qi)貨介紹(shao)境(jing)外(wai)中介機構(gou)業務操作要點(dian),還邀請(qing)了(le)市場(chang)相(xiang)關機構(gou)分享合規風(feng)控(kong)管(guan)理等經(jing)驗做(zuo)法。
會員(yuan)(yuan)(yuan)單位(wei)和(he)境外中介機(ji)構代表對(dui)此次座談會給(gei)予積(ji)極評價,并表示當前期貨市場(chang)運行(xing)的內外部(bu)環境較為(wei)復雜,監管(guan)形勢也隨之(zhi)發(fa)生(sheng)了變化。通(tong)過召(zhao)開(kai)合規監管(guan)座談會,有助于(yu)會員(yuan)(yuan)(yuan)了解市場(chang)最新(xin)監管(guan)動態及(ji)落實(shi)措(cuo)施,查缺補(bu)漏。會員(yuan)(yuan)(yuan)單位(wei)和(he)中介機(ji)構支持交易所加(jia)強合規監管(guan)、防(fang)范市場(chang)風險(xian)的各項舉措(cuo),并積(ji)極配合交易所加(jia)強對(dui)市場(chang)風險(xian)監管(guan)。
上期所相關(guan)負責人表示,下一階段,交(jiao)易所仍將堅持(chi)“以監管(guan)會員為中心”的交(jiao)易行(xing)為監管(guan)模(mo)式,繼(ji)續定期舉(ju)辦合規監管(guan)座談會,加(jia)強與會員之(zhi)間的溝(gou)通交(jiao)流(liu),積(ji)極聽取市(shi)(shi)場的意見(jian)和建議,繼(ji)續緊跟市(shi)(shi)場創新步伐,改進(jin)監管(guan)工(gong)作(zuo)方式,維護(hu)市(shi)(shi)場安全穩定運(yun)行(xing),切(qie)實做好保障市(shi)(shi)場平穩運(yun)行(xing)和健康發展的各(ge)項工(gong)作(zuo)。
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經營許可證(zheng)編號:京B2-20180749 京公網安備0-1
Copyright 2001-2018 China Securities Journal. All Rights Reserved