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</script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p style="text-align: center;"><span style="font-size:20px;">证券时报记è€?程丹</span></p> <p><span style="font-size:20px;">  证监会昨日就《期货公司监督管理办法》向社会公开征求意见,证监会新闻发言人常德鹏表示,此次修订旨在适应期货市场发展的新要求,加强期货公司监管ã€?/span></p> <p><span style="font-size:20px;">  2007å¹?月,证监会首次发布《期货公司监督管理办法》ã€?014å¹?0月,为落实监管转型要求,修订发布了该办法。该办法实施以来,为期货公司规范发展,提升期货公司服务水平发挥了重要作用。常德鹏介绍,随着期货市场的发展及对外开放的逐步扩大,《期货公司监督管理办法》的相关内容已满足不了实践的需要,有必要进行修订完善:一是股东门槛低,对股东约束偏弱、偏原则;二是期货公司子公司监管、信息系统管理规定尚难以满足规范发展要求,有必要进一步完善规则,强化监管;三是期货公司对客户的管理责任以及期货行业对外开放等规定需要进一步修订完善。同时,该办法作为期货公司监管的基础性规章,对其进行系统修订,有利于解决期货公司监管规章制度的碎片化问题ã€?/span></p> <p><span style="font-size:20px;">  具体来看,此次修订,一是提高期货公司股东资格条件,严把准入关。完å–?%以上主要股东资格条件。对主要股东为法人的,明确持续经营时间、持续盈利能力要求,增加出资资金、公司治理以及业务相关性等方面的要æ±?对主要股东为自然人的,增åŠ?年内不存在对所投企业经营失败或重大违法违规行为负有直接责任的要求。对控股股东、第一大股东条件提出更高要求。在财务实力方面,对期货公司控股股东、第一大股东提出更高的净资本或净资产要求;在经营能力方面,要求其在技术、管理、营销等方面具有较强优åŠ?在风险处置方面,要求其具备持续资本补充和风险处置能力。增加非金融企业投资期货公司的条件规定。要求非金融企业投资入股期货公司的,除满足一般股东条件外,应同时满足国家关于加强非金融企业投资金融机构监管的有关规定和相关指导意见。加强穿透监管。规定间接持有期货公å?%以上股权的自然人,应当符合期货公司主要股东的资格条件ã€?/span></p> <p><span style="font-size:20px;">  二是加强期货公司股权管理,强化股东义务。在股权转让过程中,明确期货公司拟入股股东、股权出让方职责。增加拟入股股东应了解期货公司的义务,股权出让方在股权依法转让前不得让渡股东权利的义务。同时明确期货公司股东应秉承长期投资理念,依法行使股东权利,履行股东义务。增加期货公司控股股东定期评估自身状况并报告的监管要求。为加强期货公司股东合规管理要求,在现有重大事件报告义务的基础上,明确期货公司控股股东、第一大股东应当每半年对自身遵守法律法规及监管规定情况、经营状况、履行承诺事项和章程情况进行评估,及时将评估报告通过期货公司报送期货公司住所地证监会派出机构的要求。增加规定要求持有期货公å?%以上股权的股东或者实际控制人业务范围、董事长等主要人员调整、经营管理发生重大变化等情形应向证监会及其派出机构的主动报告义务。增加期货公司关联交易监管要求。完善期货公司股东、实际控制人或其他关联人的违规情形以及相关法律责任条款ã€?/span></p> <p><span style="font-size:20px;">  三是完善期货公司分子公司管理要求,落实相关责任。明确期货公司应当建立健全并持续完善覆盖境内外机构及业务的合规管理、风险管理和内部控制体系,贯穿决策、执行、监督、反馈等各个环节,防范分子公司违法违规行为的发生ã€?/span></p> <p><span style="font-size:20px;">  四是完善期货市场对外开放相关规定,鼓励优质公司“走出åŽ?rdquo;。增加期货公司设立、收购、参股境外经营机构的备案条件要求ã€?/span></p> <p><span style="font-size:20px;">  五是完善期货公司对客户交易行为管理,夯实异常交易监管基础。严格开户实名制要求,完善客户交易行为管理基础。增加期货公司违法违规行为报告监管要求。要求期货公司应建立健全客户交易行为管理制度,加强客户交易指令审核,并报告异常交易及客户交易违法违规线索的义务ã€?/span></p> <p> </p> <p><span style="font-size:20px;">  六是完善期货公司信息系统管理规定,维护系统安全。增加期货公司信息系统管理规范,完善客户信息安全管理规范。加强期货公司外部接入信息系统管理。明确期货公司对外部接入信息系统合规、安全审查以及备案管理要求ã€?/span></p> </div> </div> <div class="contArticle_bot_Artpage"> <span id="pe100_page_contentpage" class="pagecss"></span> </div> <div class="c_contant_end"> 您可以分享或转发本文至: <div class="bdsharebuttonbox"><a href="#" class="bds_more" data-cmd="more"></a><a href="#" class="bds_weixin" data-cmd="weixin" title="分享到微ä¿?></a><a href="#" class="bds_tsina" data-cmd="tsina" title="分享到新浪微å?></a><a href="#" class="bds_tqq" data-cmd="tqq" title="分享到腾讯微å?></a><a 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