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券商步入整改季

来源: 南方日报网络版     时间: 2019年07月23日 11:56:04
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(特)(点)(:即)(出)(现)(了)(大)(量)(杠)(杆)(融)(资)(、期)(货)(现)(货)(对)(冲)(和)(程)(序)(化)(交)(易)(等)(,尤)(其)(是)(程)(序)(化)(交)(易)(甚)(至)(有)(部)(分)(外)(资)(机)(构)(参)(与)(,暴)(露)(出)(应)(对)(机)(制)(存)(在)(准)(备)(不)(足)(、不)(完)(善)(之)(处)(。  8月)(31日)(,一)(家)(中)(型)(券)(商)(人)(士)(对)(21世)(纪)(经)(济)(报)(道)(记)(者)(表)(示)(,“公)(司)(正)(在)(统)(一)(拟)(写)(一)(个)(整)(改)(报)(告)(,要)(求)(9月)(10日)(前)(上)(报)(。”  不)(过)(,当)(天)(另)(有)(券)(商)(负)(责)(人)(称)(,“公)(司)(没)(有)(收)(到)(要)(递)(交)(自)(查)(报)(告)(的)(要)(求)(。我)(们)(得)(到)(的)(信)(息)(是)(,只)(有)(行)(业)(前)(50家)(券)(商)(才)(被)(要)(求)(上)(报)(自)(查)(报)(告)(。”  据)(一)(家)(中)(型)(券)(商)(人)(士)(透)(露)(,目)(前)(,监)(管)(层)(要)(求)(上)(报)(的)(自)(查)(项)(目)(多)(达)(7项)(,分)(别)(是)(两)(融)(业)(务)(自)(查)(、程)(序)(化)(交)(易)(自)(查)(、信)(息)(系)(统)(的)(第)(三)(方)(接)(入)(自)(查)(、结)(构)(化)(资)(管)(产)(品)(的)(杠)(杆)(风)(险)(自)(查)(、收)(益)(权)(互)(换)(自)(查)(、客)(户)(风)(险)(适)(当)(性)(自)(查)(以)(及)(队)(伍)(管)(理)(自)(查)(。  该)(人)(士)(表)(示)(,两)(融)(业)(务)(自)(查)(主)(要)(是)(监)(管)(层)(认)(为)(融)(资)(助)(长)(了)(市)(场)(的)(大)(幅)(波)(动)(。“尽)(管)(制)(度)(设)(计)(是)(好)(的)(,杠)(杆)(率)(也)(不)(高)(,行)(业)(是)(1比)(1(两)(融)(),信)(托)(平)(均)(3.5倍)((结)(构)(化)(信)(托)(产)(品)(),但)(关)(于)(平)(仓)(的)(设)(计)(不)(够)(完)(善)(,在)(大)(幅)(波)(动)(时)(客)(户)(只)(能)(通)(过)(卖)(抵)(押)(品)(,卖)(券)(还)(款)(,筹)(集)(资)(金)(还)(款)(选)(择)(主)(动)(了)(结)(,这)(就)(带)(动)(了)(市)(场)(的)(抛)(盘)(,形)(成)(恐)(慌)(情)(绪)(。”  而)(信)(息)(系)(统)(的)(第)(三)(方)(接)(入)(自)(查)(,源)(于)(券)(商)(是)(唯)(一)(的)(交)(易)(所)(会)(员)(,责)(任)(和)(义)(务)(很)(大)(。归)(根)(到)(底)(,系)(统)(接)(入)(最)(终)(是)(通)(过)(券)(商)(这)(一)(关)(。为)(此)(,监)(管)(层)(要)(求)(系)(统)(接)(入)(必)(须)(了)(解)(客)(户)(、了)(解)(交)(易)(对)(手)(,对)(业)(务)(活)(动)(、业)(务)(类)(型)(穿)(透)(调)(查)(,接)(入)(后)(要)(仔)(细)(验)(查)(,要)(对)(客)(户)(的)(交)(易)(行)(为)(负)(责)(,绝)(不)(可)(听)(之)(任)(之)(,怂)(恿)(帮)(助)(。  此)(外)(,队)(伍)(管)(理)(自)(查)(则)(是)(基)(于)(券)(商)(队)(伍)(管)(理)(相)(当)(的)(薄)(弱)(。此)(外)(,应)(对)(本)(次)(股)(灾)(,券)(商)(行)(业)(整)(体)(发)(挥)(作)(用)(不)(明)(显)(,有)(的)(部)(分)(公)(司)(还)(做)(出)(了)(与)(稳)(定)(相)(背)(的)(事)(情)(。  “因)(此)(,监)(管)(层)(要)(求)(做)(好)(内)(部)(自)(查)(,尤)(其)(是)(要)(抓)(下)(面)(基)(层)(不)(和)(谐)(的)(现)(象)(、不)(协)(同)(的)(问)(题)(,特)(别)(是)(个)(别)(违)(规)(违)(法)(操)(作)(要)(引)(起)(高)(度)(重)(视)(。”对)(此)(,前)(述)(券)(商)(人)(士)(直)(言)(。  8月)(31日)(,中)(信)(证)(券)((600030.SH)发)(布)(公)(告)(称)(,8月)(25日)(,公)(司)(有)(几)(名)(高)(级)(管)(理)(人)(员)(和)(员)(工)(被)(公)(安)(机)(关)(要)(求)(协)(助)(调)(查)(有)(关)(问)(题)(,调)(查)(工)(作)(尚)(在)(进)(行)(之)(中)(,公)(司)(予)(以)(积)(极)(配)(合)(。相)(关)(事)(项)(如)(有)(新)(的)(进)(展)(,且)(涉)(及)(公)(告)(事)(项)(时)(,公)(司)(将)(按)(照)(有)(关)(规)(定)(,及)(时)(发)(布)(公)(告)(。  中)(信)(证)(券)(表)(示)(,公)(司)(正)(在)(积)(极)(采)(取)(措)(施)(,认)(真)(查)(找)(各)(项)(业)(务)(尤)(其)(是)(创)(新)(业)(务)(中)(存)(在)(的)(问)(题)(,深)(刻)(反)(思)(,严)(肃)(整)(改)(。目)(前)(,公)(司)(管)(理)(有)(序)(,运)(营)(稳)(健)(,流)(动)(性)(充)(足)(,各)(项)(业)(务)(正)(常)(开)(展)(。  另)(有)(大)(型)(券)(商)(负)(责)(人)(称)(,在)(此)(次)(危)(机)(处)(理)(过)(程)(中)(,暴)(露)(出)(一)(系)(列)(问)(题)(值)(得)(大)(家)(反)(思)(。“我)(们)(缺)(乏)(前)(瞻)(性)(的)(系)(统)(性)(风)(险)(监)(控)(体)(系)(,系)(统)(风)(险)(的)(预)(判)(不)(足)(。公)(司)(尚)(未)(构)(建)(包)(括)(各)(种)(宏)(观)(数)(据)(在)(内)(的)(系)(统)(性)(风)(险)(监)(控)(体)(系)(,缺)(少)(对)(极)(端)(风)(险)(的)(预)(判)(和)(提)(示)(;盲)(目)(满)(足)(客)(户)(的)(杠)(杆)(需)(求)(,未)(对)(客)(户)(进)(行)(充)(分)(的)(风)(险)(管)(理)(教)(育)(;应)(急)(处)(理)(缺)(乏)(灵)(活)(性)(;我)(们)(发)(现)(,在)(平)(仓)(处)(理)(过)(程)(中)(,在)(科)(学)(性)(、及)(时)(性)(、公)(平)(性)(方)(面)(确)(实)(存)(在)(不)(足)(;贷)(后)(管)(理)(能)(力)(不)(足)(,对)(部)(分)(客)(户)(的)(信)(用)(资)(质)(和)(履)(约)(能)(力)(认)(识)(不)(足)(;以)(及)(部)(分)(营)(业)(部)(处)(理)(客)(户)(纠)(纷)(缺)(乏)(经)(验)(,客)(户)(经)(理)(危)(机)(处)(理)(培)(训)(不)(足)(。”该)(负)(责)(人)(如)(是)(说)(。  该)(负)(责)(人)(强)(调)(,近)(年)(来)(证)(券)(公)(司)(信)(用)(业)(务)(急)(速)(发)(展)(,承)(担)(的)(信)(用)(风)(险)(水)(平)(超)(出)(了)(市)(场)(风)(险)(,此)(次)(系)(统)(性)(风)(险)(给)(证)(券)(公)(司)(上)(了)(一)(堂)(生)(动)(的)(教)(育)(课)(。  “我)(们)(认)(为)(,投)(资)(银)(行)(理)(应)(回)(归)(业)(务)(本)(源)(,即)(发)(挥)(风)(险)(定)(价)(、风)(险)(对)(冲)(、流)(动)(性)(提)(供)(,投)(融)(资)(交)(易)(撮)(合)(等)(优)(势)(,而)(不)(是)(盲)(目)(发)(展)(类)(信)(贷)(业)(务)(,应)(该)(更)(加)(注)(重)(风)(险)(资)(产)(配)(置)(的)(均)(衡)(合)(理)(以)(及)(分)(散)(。”该)(负)(责)(人)(称)(。  作)(者)(:何)(晓)(晴)(
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