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「600408安泰集团」监管层再掀交易所整顿风暴:3个月50家交易所停摆(2014-09-09)


600408安泰集团——汤加群岛

  清理整顿交易所工作已经进行了近三年。根据中国证监会披露的信息,截至目前,仅天津交易所的清理整顿工作尚未完成。中国证监会近日表示,各地证监局正会同地方政府有关部门对各类交易场所进行现场检查。
  由于缺乏强有力的监管体系,经过清理整顿,停牌前的交易所“死灰复燃”,这也是当前交易所清理整顿工作面临的难题。

  一位知情人士告诉记者,现货商品交易所缺乏必要的监管,导致风险事件频发,更为普遍的表现是,这些交易所做市商等不透明的交易制度受到各方诟病。今年二季度,第二波交易场所清理整顿风暴已经来临,重点是贵金属、文化地产、艺术品和股权交易场所。

600408安泰集团
  三个月内关闭50家交易所

600408安泰集团——600155

  2011年11月,国务院发布《关于清理整顿各类交易场所有效防范金融风险的决定》(国发〔2011〕38号),决定成立由中国证监会牵头的清理整顿各类交易场所部际联席会议,协调有关部门和地方政府开展清理整顿各类交易场所工作。

  据不完全统计,截至2014年7月中旬,国内上市交易场所总数近600个,其中现货交易场所约260个。据此前统计,今年6月初以来,天津、河北、河南、江苏、内蒙古、山东、安徽等省(区、市)已有50多家交易所宣布停牌,其中大部分在天津。部分交易所因“系统升级”而停牌,部分交易所因涉嫌诈骗被当地公安部门查封。
  The CSRC said last week that up to now, the rectification work of 29 provinces (autonomous regions and municipalities) and five cities under separate state planning has passed the joint meeting.In the remaining two provinces and cities, the rectification of trading places in Yunnan Province has also been basically completed, and the relevant acceptance procedures are being carried out.In the process of clean-up and rectification, a number of illegal activities were investigated and dealt with, a number of irregular practices were corrected, and a number of trading places with serious problems were closed.

600408安泰集团——000503股吧

  The current round of clearing up and rectification of trading venues is expected to add weight again.The CSRC also disclosed last week that in order to consolidate the results of the rectification work, promote the establishment of a long-term mechanism for the supervision of all kinds of trading places, and promote the sustained and healthy development of all kinds of trading places, under the unified organization of the inter ministerial liaison meeting, all securities regulatory bureaus, together with the relevant departments of local governments, are conducting on-site inspections on all kinds of trading places.The local governments concerned will deal with the problems found in the inspection in accordance with the law and regulations.
  The CSRC also pointed out that the current rectification work is still in progress, the operation and management of some trading venues are not standardized, and the risk of organized trading activities is very high.From the perspective of protecting investors’ own interests, we must be cautious to participate in the transactions in these trading places.

  Strictly prevent the “resurgence”

600408安泰集团——山西焦化吧

  In fact, the phenomenon of “resurgence” of some exchanges that have passed the acceptance still exists.Zhang Xiaojun, a spokesman for the CSRC, said in August that due to various reasons, there are still some problems that can not be ignored in the continuous promotion of the clean-up and rectification work and the standardized management of trading venues, such as the “resurgence” of violations in areas that have passed the acceptance.
  It is worth noting that the rectification work of Tianjin stock exchange has not yet passed the acceptance.The CSRC said that it will work with other members of the inter ministerial joint meeting to further strengthen overall coordination and policy guidance, and support the Tianjin municipal government to complete the clean-up and rectification of various trading venues as soon as possible.

  In order to strengthen the supervision of illegal transactions in various exchanges, as early as April this year, the CSRC announced the establishment of the Bureau of cracking down on illegal securities and futures activities.具体职责是:制定区域性股权转让市场的监管规则和实施细则;承担打击非法证券、期货活动的有关工作,负责识别,查处非法证券发行和非法证券期货业务咨询活动;承担清理整顿各类交易场所的有关工作。

  就交易所整顿而言,一些负有具体监管职责的地方监管机构仍无法履行监管职责。中国证监会此前指出,建立各类交易场所长效监管机制,对于巩固整顿工作成果,促进交易场所持续健康发展具有重要意义。然而,一些地方的日常投诉监管机制仍有待进一步建立和落实。

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