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中信、招商证券等三家机构同日收警示函,场外衍生品业务迎强监管

huaxinzhengquanyinjingjiyewujiedaojianguanhan。

来源:界面库图

界面新闻记者 | 陈靖

yinjingjiyewuhuochangwaiyanshengpinyewuguanlicunzaibuzu,youyousanjiaquanshangmijijiefadan。

12yue20ri,shenzhenzhengjianjuwangzhanpilusanxiangjianguancuoshigonggao,duizhongxinzhengquan(6000030.sh)、zhaoshangzhengquan(6000999.sh)、huaxinzhengquan(huaxingufenzigongsi600621.sh)caiquchujujingshihandexingzhengjianguancuoshi。

zhongxinzhengquanzaiyewukaizhanguochengzhong,cunzaiyixiawenti:yishijingjiyewuguanlicunzaibuzu。ruyewuzhiduweijishixiudingwanshan;kehukaihuxinxicaijidengjibuguifan,bufenkehuhuifangyoukehujinglifuze;bufenzhanghudekeyijiaoyiyujinghechajishimingzhihechabuchongfen;duifenzhijigouyuangongdezhiyexinxidengjibeian、shoujihaobaobeiguanli、weiguixinxibaosongbujishibudaowei;xiashuzigongsiweixingongzhonghaotuisongyingxiaoxinxibudangdeng。

ershichangwaiyanshengpinyewuguanlicunzaibuzu。zaiyanshengpinjiaoyizhunruhuanjie,duiyubufenjiaoyiduishoudezhenshishenfenshibie、guanlianguanxidehechabushenru,luoshishidangxingguanliyaoqiubudaowei;zaijiaoyiduishoudechixuguanlihuanjie,bufenjiaoyiduishoudeniandufuheziliaojidingqihuifangjiluqueshi;zaijiaoyifengxianjiancejiankonghuanjie,duiyufengxiantishigenzongchulibujishibuwanshan;zairichangbaosongguanlifangmian,cunzaibaosongchangwaiyanshengpinjidubaogaoneirongbuwanzhengdeqingkuang。

yuzhongxinzhengquanqingkuangleisi,zhaoshangzhengquanyezaijingjiyewujichangwaiyanshengpinyewuguanlifangmiancunzaiwenti。jutikanlai,yishijingjiyewuguanlifangmiandewenti。bufenyewuzhiduweijishixiudingwanshan,gebieyingxiaorenyuanzaihulianwangpingtaicongshikehuzhaolanfuwuhuoxiangputongtouzizhetuijiangaoyuzishenfengxiandengjidejinrongchanpin。

ershichangwaiyanshengpinyewuguanlifangmiandewenti。zhidutixihuabuzu,yewugelibudaowei。zaiyanshengpinjiaoyizhunruhuanjie,jinzhidiaochahuoquxinxibuquanmian,duijiaoyiduishouzhenshishenfen、shifoufuheshidangxingyaoqiuhechabuchongfen。zaijiaoyiduishoufanghouxuguanlihuanjie,weichixuchongfenguanzhukehujiaoyimude,weiyouxiaoluoshifumiankehuguanlijizhi。zaijiaoyifengxianguankonghuanjie,fengxianjianceyuliuhen、baozhengjinguanli、guzhimoxingguanlidengjunyoubuzu。

tongshi,huaxinzhengquanyezaizhengquanjingjiyewuzhongcunzaiyixiawenti:yishijingjiyewuxiangguanzhiduweijishixiuding。ershirenyuanguanlibudaowei。jingjiyewuzongbugebieheguirenyuanweiyouheguifuzerenjinxingzongtikaohe;zhengquanjingjiyewucongyerenyuanjixiaokaohehexinchoufenpeizhixingweichongfenfanyingheguiguanlihelianjiecongyeyaoqiu。sanshigebietouzizheshidangxingceshijieguocunzaiyichang,dangongsiweicaiquxiangyingcuoshilejiebingtishifengxian。

shishishang,jinbannian,zhongxinzhengquanjiqixiafenzhijigouyiduocijiedaogedizhengjianjukaichude“fadan”。11yue27ri,jiangsuzhengjianjuduizhongxinzhengquanjiangsufengongsichujujingshihan,renweigaifengongsiheguiguanlibudaowei。

jinnian9yue,shanxizhengjianjuduizhongxinzhengquanshanxifengongsijiyuangongliumouchujujingshihan,bingjiruzhengquanqihuochengxindangan。shanxizhengjianjuhechafaxian,liumouzaizhongxinzhengquanshanxifengongsirenkehujingliqijian,xiangtouzizhezhudongtuijiefengxiandengjigaoyuqifengxianchengshounenglidesimujijinchanpin。

zhideyitideshi,jinqiyinchangwaiyanshengpinyewuweiguierbeijianguan“dianming”detoubuquanshangbuzhizhongxinzhengquan、zhaoshangzhengquanliangjia,haiyouhuataizhengquan(601688.sh)、yinhezhengquan(601881.sh,06881.hk)、haitongzhengquan(600837.sh, 06837.hk)dengduojiaquanshangcengyinchangwaiqiquanyewuweiguishoufadan。

11yue28ri,jiangsuzhengjianjuduihuataizhengquancaiquchujujingshihandejianguancuoshi。qizhongtidao,huataizhengquanyufeizhuanyejigoutouzizhekaizhanchangwaiqiquanjiaoyi,qiezaikaizhanguochengzhongweinengyouxiaojiancecanyuchanpingoumaichangwaiqiquandezhanbiqingkuang。

jinnian1yue,haitongzhengquanbeicaiquzelinggaizhengcuoshi,yingaigongsichangwaiqiquanyewuxiangguanneibukongzhibujianquan,weijianlijianquanfugaichangwaiqiquanyewugehuanjiedeneibuguanlizhidu;weimingquebumencengjifengxianzhibiaochaoxianedebaogaolujinghechulibanfa。changwaiyanshengpinyewuxiangguanfengxianzhibiaotixibujianquan;4yue,yinhezhengquanyincunzaikaizhanchangwaiqiquanjigupiaozhiyayewubushenshendengwenti,beibeijingzhengjianjuchujujingshihan。

未经正式授权严禁转载本文,侵权必究。

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中信、招商证券等三家机构同日收警示函,场外衍生品业务迎强监管

huaxinzhengquanyinjingjiyewujiedaojianguanhan。

来源:界面库图

界面新闻记者 | 陈靖

yinjingjiyewuhuochangwaiyanshengpinyewuguanlicunzaibuzu,youyousanjiaquanshangmijijiefadan。

12yue20ri,shenzhenzhengjianjuwangzhanpilusanxiangjianguancuoshigonggao,duizhongxinzhengquan(6000030.sh)、zhaoshangzhengquan(6000999.sh)、huaxinzhengquan(huaxingufenzigongsi600621.sh)caiquchujujingshihandexingzhengjianguancuoshi。

zhongxinzhengquanzaiyewukaizhanguochengzhong,cunzaiyixiawenti:yishijingjiyewuguanlicunzaibuzu。ruyewuzhiduweijishixiudingwanshan;kehukaihuxinxicaijidengjibuguifan,bufenkehuhuifangyoukehujinglifuze;bufenzhanghudekeyijiaoyiyujinghechajishimingzhihechabuchongfen;duifenzhijigouyuangongdezhiyexinxidengjibeian、shoujihaobaobeiguanli、weiguixinxibaosongbujishibudaowei;xiashuzigongsiweixingongzhonghaotuisongyingxiaoxinxibudangdeng。

ershichangwaiyanshengpinyewuguanlicunzaibuzu。zaiyanshengpinjiaoyizhunruhuanjie,duiyubufenjiaoyiduishoudezhenshishenfenshibie、guanlianguanxidehechabushenru,luoshishidangxingguanliyaoqiubudaowei;zaijiaoyiduishoudechixuguanlihuanjie,bufenjiaoyiduishoudeniandufuheziliaojidingqihuifangjiluqueshi;zaijiaoyifengxianjiancejiankonghuanjie,duiyufengxiantishigenzongchulibujishibuwanshan;zairichangbaosongguanlifangmian,cunzaibaosongchangwaiyanshengpinjidubaogaoneirongbuwanzhengdeqingkuang。

yuzhongxinzhengquanqingkuangleisi,zhaoshangzhengquanyezaijingjiyewujichangwaiyanshengpinyewuguanlifangmiancunzaiwenti。jutikanlai,yishijingjiyewuguanlifangmiandewenti。bufenyewuzhiduweijishixiudingwanshan,gebieyingxiaorenyuanzaihulianwangpingtaicongshikehuzhaolanfuwuhuoxiangputongtouzizhetuijiangaoyuzishenfengxiandengjidejinrongchanpin。

ershichangwaiyanshengpinyewuguanlifangmiandewenti。zhidutixihuabuzu,yewugelibudaowei。zaiyanshengpinjiaoyizhunruhuanjie,jinzhidiaochahuoquxinxibuquanmian,duijiaoyiduishouzhenshishenfen、shifoufuheshidangxingyaoqiuhechabuchongfen。zaijiaoyiduishoufanghouxuguanlihuanjie,weichixuchongfenguanzhukehujiaoyimude,weiyouxiaoluoshifumiankehuguanlijizhi。zaijiaoyifengxianguankonghuanjie,fengxianjianceyuliuhen、baozhengjinguanli、guzhimoxingguanlidengjunyoubuzu。

tongshi,huaxinzhengquanyezaizhengquanjingjiyewuzhongcunzaiyixiawenti:yishijingjiyewuxiangguanzhiduweijishixiuding。ershirenyuanguanlibudaowei。jingjiyewuzongbugebieheguirenyuanweiyouheguifuzerenjinxingzongtikaohe;zhengquanjingjiyewucongyerenyuanjixiaokaohehexinchoufenpeizhixingweichongfenfanyingheguiguanlihelianjiecongyeyaoqiu。sanshigebietouzizheshidangxingceshijieguocunzaiyichang,dangongsiweicaiquxiangyingcuoshilejiebingtishifengxian。

shishishang,jinbannian,zhongxinzhengquanjiqixiafenzhijigouyiduocijiedaogedizhengjianjukaichude“fadan”。11yue27ri,jiangsuzhengjianjuduizhongxinzhengquanjiangsufengongsichujujingshihan,renweigaifengongsiheguiguanlibudaowei。

jinnian9yue,shanxizhengjianjuduizhongxinzhengquanshanxifengongsijiyuangongliumouchujujingshihan,bingjiruzhengquanqihuochengxindangan。shanxizhengjianjuhechafaxian,liumouzaizhongxinzhengquanshanxifengongsirenkehujingliqijian,xiangtouzizhezhudongtuijiefengxiandengjigaoyuqifengxianchengshounenglidesimujijinchanpin。

zhideyitideshi,jinqiyinchangwaiyanshengpinyewuweiguierbeijianguan“dianming”detoubuquanshangbuzhizhongxinzhengquan、zhaoshangzhengquanliangjia,haiyouhuataizhengquan(601688.sh)、yinhezhengquan(601881.sh,06881.hk)、haitongzhengquan(600837.sh, 06837.hk)dengduojiaquanshangcengyinchangwaiqiquanyewuweiguishoufadan。

11yue28ri,jiangsuzhengjianjuduihuataizhengquancaiquchujujingshihandejianguancuoshi。qizhongtidao,huataizhengquanyufeizhuanyejigoutouzizhekaizhanchangwaiqiquanjiaoyi,qiezaikaizhanguochengzhongweinengyouxiaojiancecanyuchanpingoumaichangwaiqiquandezhanbiqingkuang。

jinnian1yue,haitongzhengquanbeicaiquzelinggaizhengcuoshi,yingaigongsichangwaiqiquanyewuxiangguanneibukongzhibujianquan,weijianlijianquanfugaichangwaiqiquanyewugehuanjiedeneibuguanlizhidu;weimingquebumencengjifengxianzhibiaochaoxianedebaogaolujinghechulibanfa。changwaiyanshengpinyewuxiangguanfengxianzhibiaotixibujianquan;4yue,yinhezhengquanyincunzaikaizhanchangwaiqiquanjigupiaozhiyayewubushenshendengwenti,beibeijingzhengjianjuchujujingshihan。

未经正式授权严禁转载本文,侵权必究。