中證監同意開展證券公司帳戶管理功能優化試點
中證監公佈,爲落實全面深化資本市場改革的有關要求,進一步優化證券公司帳戶管理功能,提升服務能力,推動行業高質量發展,當局支持證券公司嚴格按照《證券法》、《證券公司監督管理條例》等法律法規的要求,在現有客戶交易結算資金第三方存管框架下,開展內部帳戶管理功能優化。按照「堅守客戶資金安全底線、優化事中管控方式、提升客戶服務效率」的原則,支持證券公司從建立綜合客戶帳戶、允許同名劃轉、分類帳戶管理等方面開展帳戶管理功能優化試點。
爲確保改革平穩,防範業務風險,中證監按照「分批試點、逐步放開」的思路,支持部分綜合實力較強、合規風控機制完善、信息系統準備充分的公司申請試點。經證券業協會組織專家問詢和評審,中信證券(06030.HK)、國泰君安(02611.HK)、銀河證券、中金財富、國信證券(002736.SZ)、安信證券、招商證券(06099.HK)、中信建投(06066.HK)、申萬宏源(06806.HK)及華泰證券(6886.HK)等10家證券公司符合試點的基本要求,獲評審通過。中證監同意上述10家證券公司試點。
下一步,中證監將進一步加強監管,督促相關證券公司穩妥開展試點,強化合規風控管理,嚴守客戶資金安全底線,切實保障客戶資金安全,嚴禁以直接或者變相方式挪用、佔用客戶資金,一經發現,依法嚴懲。同時,持續跟蹤、評估、總結試點效果。
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