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非实名制伞型信托清理倒计时

来源: 南方日报网络版     时间: 2019年06月16日 23:15:23
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(  配)(资)(拆)(弹)(季)(
  在)(经)(历)(了)(两)(轮)(巨)(震)(之)(后)(,9月)(A股)(会)(否)(迎)(来)(变)(局)(?
  9月)(伊)(始)(,利)(好)(组)(合)(拳)(频)(出)(,除)(了)(央)(行)(行)(长)(表)(态)(股)(市)(调)(整)(到)(位)(之)(外)(,还)(有)(引)(入)(熔)(断)(机)(制)(、暂)(免)(长)(期)(持)(股)(股)(息)(红)(利)(税)(等)(消)(息)(也)(纷)(纷)(出)(炉)(,然)(而)(本)(月)(即)(将)(结)(束)(的)(配)(资)(清)(查)(仍)(被)(市)(场)(认)(为)(是)(不)(确)(定)(因)(素)(之)(一)(。市)(场)(信)(心)(显)(然)(仍)(有)(待)(恢)(复)(,近)(两)(个)(交)(易)(日)(以)(来)(机)(构)(集)(中)(抛)(售)(个)(股)(,公)(募)(基)(金)(也)(仍)(谨)(慎)(维)(持)(低)(仓)(位)(。
  尽)(管)(9月)(8日)(A股)(反)(转)(,但)(9月)(A股)(能)(否)(就)(此)(迎)(来)(“艳)(阳)(天)(”,仍)(有)(变)(数)(。
  此)(次)(除)(了)(清)(查)(违)(规)(配)(资)(账)(户)(之)(外)(,监)(管)(层)(亦)(同)(时)(在)(对)(高)(频)(交)(易)(账)(户)(进)(行)(排)(查)(。
  距)(9月)(11日)(——首)(批)(配)(资)(账)(户)(清)(理)(大)(限)(之)(日)(,仅)(有)(三)(日)(时)(间)(。
  9月)(8日)(,多)(名)(机)(构)(人)(士)(对)(21世)(纪)(经)(济)(报)(道)(记)(者)(表)(示)(,部)(分)(营)(业)(部)(已)(在)(进)(行)(自)(查)(与)(清)(理)(违)(规)(配)(资)(账)(户)(,以)(便)(在)(截)(止)(日)(前)(清)(理)(完)(毕)(。
  根)(据)(此)(前)(监)(管)(层)(的)(要)(求)(,存)(量)(配)(资)(在)(10亿)(以)(下)(的)(券)(商)(,必)(须)(于)(9月)(11日)(前)(完)(成)(清)(理)(。
  与)(此)(同)(时)(,此)(次)(除)(了)(清)(查)(违)(规)(配)(资)(账)(户)(之)(外)(,监)(管)(层)(亦)(同)(时)(在)(对)(高)(频)(交)(易)(账)(户)(进)(行)(排)(查)(。华)(中)(一)(名)(营)(业)(部)(总)(经)(理)(向)(记)(者)(透)(露)(,在)(7-8月)(间)(历)(次)(自)(查)(中)(,除)(配)(资)(业)(务)(外)(,高)(频)(交)(易)(账)(户)(亦)(是)(自)(查)(的)(另)(一)(重)(点)(。
  清)(理)(进)(行)(时)(
  自)(8月)(底)(监)(管)(层)(发)(文)(要)(求)(券)(商)(清)(理)(违)(规)(配)(资)(账)(户)(以)(来)(,各)(券)(商)(就)(已)(开)(始)(行)(动)(,不)(过)(记)(者)(了)(解)(到)(,各)(地)(券)(商)(进)(展)(不)(一)(。
  深)(圳)(一)(家)(大)(型)(营)(业)(部)(总)(经)(理)(透)(露)(,深)(圳)(证)(监)(局)(近)(期)(和)(辖)(区)(券)(商)(各)(机)(构)(业)(务)(部)(负)(责)(人)(召)(开)(关)(于)(清)(理)(配)(资)(的)(会)(议)(。
  21世)(纪)(经)(纪)(报)(道)(记)(者)(联)(系)(上)(其)(中)(一)(名)(与)(会)(人)(士)(,该)(人)(士)(表)(示)(清)(理)(配)(资)(的)(要)(点)(比)(较)(详)(细)(,但)(不)(方)(便)(透)(露)(。
  对)(于)(是)(否)(要)(清)(理)(存)(量)(伞)(型)(信)(托)(,华)(南)(一)(家)(上)(市)(券)(商)(经)(纪)(业)(务)(老)(总)(告)(诉)(记)(者)(,“各)(地)(证)(监)(局)(掌)(握)(的)(尺)(度)(不)(一)(样)(,但)(我)(们)(没)(有)(收)(到)(明)(确)(的)(要)(求)(。”
  而)(在)(清)(理)(时)(间)(表)(问)(题)(上)(,该)(老)(总)(也)(表)(示)(并)(不)(清)(楚)(,“现)(在)(我)(们)(按)(照)(政)(策)(走)(,但)(是)(这)(类)(细)(节)(我)(们)(不)(知)(道)(,每)(个)(地)(方)(的)(要)(求)(也)(并)(不)(一)(样)(。”
  但)(与)(此)(同)(时)(,各)(券)(商)(营)(业)(部)(已)(在)(抓)(紧)(清)(查)(。
  珠)(三)(角)(一)(名)(大)(型)(券)(商)(营)(业)(部)(人)(士)(表)(示)(,其)(所)(在)(营)(业)(部)(的)(违)(规)(配)(资)(规)(模)(并)(不)(大)(,目)(前)(正)(在)(清)(理)(。“绝)(大)(部)(分)(存)(量)(配)(资)(在)(7月)(已)(经)(爆)(仓)(了)(。我)(们)(公)(司)(配)(资)(行)(为)(剩)(下)(的)(是)(合)(法)(合)(规)(的)(配)(资)(,例)(如)(融)(资)(融)(券)(、券)(商)(结)(构)(化)(产)(品)(,剩)(余)(违)(规)(的)(配)(资)(规)(模)(已)(很)(少)(了)(。”
  深)(圳)(一)(家)(在)(CBD区)(的)(营)(业)(部)(人)(士)(向)(21世)(纪)(经)(济)(报)(道)(记)(者)(证)(实)(,“我)(们)(最)(近)(在)(自)(查)(,要)(清)(理)(掉)(伞)(型)(信)(托)(。这)(些)(信)(托)(产)(品)(过)(去)(是)(合)(法)(合)(规)(,但)(自)(从)(监)(管)(层)(发)(文)(后)(,都)(要)(被)(清)(理)(。”
  上)(述)(深)(圳)(营)(业)(部)(人)(士)(告)(诉)(记)(者)(,绝)(大)(部)(分)(伞)(型)(信)(托)(在)(此)(前)(已)(经)(爆)(仓)(。“其)(实)(做)(代)(理)(信)(托)(的)(人)(自)(己)(也)(想)(出)(来)(了)(。”
  北)(京)(一)(名)(融)(资)(客)(就)(透)(露)(,其)(投)(资)(的)(伞)(型)(信)(托)(产)(品)(被)(要)(求)(在)(18日)(前)(清)(理)(完)(所)(有)(持)(仓)(。
  非)(实)(名)(制)(伞)(型)(信)(托)(为)(清)(理)(对)(象)(
  此)(前)(有)(市)(场)(传)(闻)(称)(,此)(次)(配)(资)(清)(理)(对)(象)(主)(要)(为)(两)(种)(。一)(种)(是)(通)(过)(恒)(生)(、铭)(创)(等)(具)(有)(分)(仓)(交)(易)(功)(能)(远)(程)(接)(入)(系)(统)(的)(配)(资)(;一)(种)(为)(伞)(形)(结)(构)(化)(融)(资)(产)(品)(;而)(单)(一)(结)(构)(化)(产)(品)(可)(能)(会)(面)(临)(关)(闭)(,但)(目)(前)(暂)(时)(不)(清)(理)(。
  对)(此)(,上)(述)(深)(圳)(大)(型)(营)(业)(部)(总)(经)(理)(向)(记)(者)(表)(示)(,清)(理)(对)(象)(应)(该)(是)(非)(实)(名)(制)(。“伞)(形)(信)(托)(有)(两)(种)(,一)(种)(是)(从)(公)(司)(层)(面)(去)(做)(,子)(账)(户)(是)(实)(名)(制)(;一)(种)(是)(通)(过)(营)(业)(部)(接)(端)(口)(且)(子)(账)(户)(不)(实)(名)(。后)(者)(肯)(定)(是)(要)(被)(清)(除)(的)(。但)(我)(们)(属)(于)(前)(者)(,所)(以)(到)(目)(前)(为)(止)(还)(没)(有)(收)(到)(清)(理)(通)(知)(,但)(我)(们)(到)(底)(算)(不)(算)(清)(理)(对)(象)(,我)(也)(不)(确)(定)(,这)(很)(难)(讲)(。”
  据)(其)(了)(解)(,即)(使)(非)(实)(名)(制)(的)(伞)(型)(信)(托)(产)(品)(,目)(前)(市)(场)(规)(模)(也)(不)(大)(。
  上)(述)(华)(南)(上)(市)(券)(商)(经)(纪)(业)(务)(老)(总)(告)(诉)(记)(者)(,对)(伞)(型)(信)(托)(的)(清)(理)(,监)(管)(层)(绝)(对)(不)(是)(“一)(刀)(切)(”。“伞)(中)(有)(伞)(,并)(且)(其)(中)(有)(违)(规)(行)(为)(,例)(如)(子)(伞)(没)(有)(实)(名)(制)(,均)(属)(于)(清)(理)(对)(象)(;正)(常)(的)(伞)(型)(信)(托)(只)(要)(不)(发)(展)(增)(量)(就)(好)(。”
  但)(其)(亦)(表)(示)(,单)(一)(结)(构)(化)(产)(品)(目)(前)(不)(属)(于)(清)(理)(范)(围)(内)(。
  事)(实)(上)(,关)(于)(实)(名)(制)(账)(户)(问)(题)(,证)(监)(会)(在)(7月)(已)(向)(市)(场)(提)(出)(监)(管)(要)(求)(。7月)(中)(旬)(,证)(监)(会)(、网)(信)(办)(联)(合)(规)(范)(场)(外)(配)(资)(,监)(管)(层)(要)(求)(证)(券)(公)(司)(在)(7月)(规)(范)(信)(息)(系)(统)(外)(部)(接)(入)(行)(为)(,完)(成)(自)(查)(工)(作)(;此)(外)(,落)(实)(证)(券)(账)(户)(实)(名)(制)(;证)(券)(公)(司)(不)(得)(不)(将)(客)(户)(的)(资)(金)(账)(户)(、证)(券)(账)(户)(提)(供)(给)(他)(人)(使)(用)(。
  高)(频)(交)(易)(账)(户)(被)(盯)(防)(
  事)(实)(上)(,监)(管)(层)(在)(此)(次)(督)(促)(证)(券)(公)(司)(清)(理)(违)(法)(违)(规)(证)(券)(账)(户)(的)(行)(动)(中)(,不)(仅)(打)(击)(非)(实)(名)(制)(的)(配)(资)(账)(户)(,亦)(重)(点)(关)(注)(高)(频)(交)(易)(账)(户)(。
  据)(业)(内)(人)(士)(透)(露)(,对)(于)(单)(个)(账)(户)(持)(股)(票)(数)(50只)(以)(上)(,且)(有)(2只)(以)(上)(持)(股)(小)(于)(1000股)(且)(总)(市)(值)(500万)(以)(上)(的)(账)(户)(,将)(被)(监)(管)(层)(评)(定)(为)(涉)(嫌)(违)(规)(账)(户)(。监)(管)(层)(将)(逐)(个)(审)(查)(,对)(于)(确)(实)(存)(量)(违)(法)(违)(规)(操)(作)(账)(户)(,进)(行)(清)(理)(。
  华)(中)(一)(家)(券)(商)(营)(业)(部)(总)(经)(理)(告)(诉)(记)(者)(,在)(7-8月)(间)(,证)(监)(局)(已)(数)(次)(要)(求)(券)(商)(对)(上)(述)(特)(征)(账)(户)(进)(行)(自)(查)(。“筛)(选)(出)(持)(有)(1000万)(市)(值)(,且)(持)(仓)(分)(散)(的)(账)(户)(,然)(后)(进)(一)(步)(查)(看)(这)(些)(账)(户)(交)(易)(是)(否)(过)(于)(频)(繁)(。”
  据)(该)(营)(业)(部)(总)(经)(理)(透)(露)(,公)(司)(曾)(有)(数)(个)(账)(户)(被)(监)(管)(层)(排)(查)(,后)(发)(现)(均)(属)(于)(正)(常)(账)(户)(。
  早)(在)(8月)(初)(,一)(场)(对)(于)(存)(在)(重)(大)(异)(常)(交)(易)(行)(为)(的)(证)(券)(账)(户)(的)(监)(管)(风)(暴)(就)(已)(袭)(来)(。上)(交)(所)(、深)(交)(所)(先)(后)(对)(38家)(账)(户)(限)(制)(交)(易)(,如)(盈)(峰)(资)(本)(、盈)(融)(达)(等)(机)(构)(,他)(们)(被)(指)(责)(进)(行)(高)(频)(报)(撤)(单)(的)(交)(易)(行)(为)(。而)(名)(单)(中)(不)(乏)(牛)(散)(身)(影)(,如)(彭)(旭)(、杨)(谦)(等)(9个)(自)(然)(人)(也)(在)(列)(。
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