中证监决定将6家证券公司纳入首批并表监管试点范围
经行业互评和外部专家评审,中金公司(03908.HK)、招商证券(06099.HK)、中信证券(06030.HK)、华泰证券(06886.HK)、中信建投(06066.HK)、国泰君安(02611.HK)6家证券公司已基本建立能够有效覆盖各类风险、各业务条线、各子孙公司的全面风险管理体系,初步具备实施并表监管条件。中国证监会决定将该6家证券公司纳入首批并表监管试点范围。
根据规定,逐步允许参与试点机构试行更为灵活的风控指标体系。初期,综合考虑试点机构对外投资资本占用情况,对试点机构母公司风险资本准备计算系数由0.7调降至0.5,表内外资产总额计算系数由1降至0.7;同时持续监测试点机构已建立风控体系运行及合并风控指标信息的有效性。待相关机制运行成熟後,逐步过渡至直接基於合并报表实施风控指标监管。(ta/w) ~
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