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中證監:調整優化融券相關制度 更好發揮逆周期調節作用
中證監於上周末(14日)公布,為進一步加強融券業務逆周期調節,證監會經充分論證評估,根據當前市場情況,對融券及戰略投資者出借配售股份的制度進行針對性調整優化,在保持制度相對穩定的前提下,階段性收緊融券和戰略投資者配售股份出借。 融券端,將融券保證金比例由不得低於50%上調至80%,對私募證券投資基金參與融券的保證金比例上調至100%,發揮制度的逆周期調節作用。同時督促證券公司建立健全融券券源分配機制、穿透核查機制和准入機制,加強融券交易行為管理。 出借端,根據有關法規規定可以對戰略投資者配售股份出借予以調整,為突出上市公司高管專注主業,取消上市公司高管及核心員工通過參與戰略配售設立的專項資產管理計劃出借,適度限制其他戰略投資者在上市初期的出借方式和比例。同時,證監會將加大對各種不當套利行為的監管,紮緊紮牢制度籬笆,進一步加強監管執法,對各種違規行為,發現一起,查處一起,從嚴從重處罰。
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