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五地证监局启动私募基金专项检查 事涉上百家机构
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Topic: 五地证监局启动私募基金专项检查 事涉上百家机构 (Read 167 times)
difiberg
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五地证监局启动私募基金专项检查 事涉上百家机构
March 01, 2017, 05:08:20 AM
#1
经历了2016年的行业洗牌后,资管规模即将站上11万亿“关口”的私募基金今年初便迎来了监管大检查。
证券时报记者获悉,继上海、四川、江西三地证监局正式启动私募基金现场检查以及随机抽查后,天津和陕西两地证监局近日宣布全面启动2017年私募基金专项检查工作。五地证监局此轮专项检查将涉及上百家私募基金,私募已被纳入地方证监局常规抽查范围。
津陕启动专项检查
记者了解到,基于证监会“关于2017年私募基金专项检查”的统一部署,天津和陕西两地证监局宣布正式开展私募基金现场检查及随机抽查。
天津证监局近日召开辖区私募基金机构监管专题会议,分析了辖区私募基金行业的发展现状及存在的问题,明确了私募基金行业规范发展的要求。天津证监局今年将重点开展私募基金、银行间私募债券基金现场检查以及随机抽查;对有关机构涉嫌违法违规的投诉举报进行核查,凡有线索一查到底;对发现的违法违规行为符合立案条件的,坚决立案查处。
据接近监管部门的一家私募高管向记者透露,天津证监局近日召开的监管专题会议“现场没有说出名单,但是据说要现场检查3家私募证券投资基金、6家私募股权投资基金和2家业务复杂且有媒体负面报道和被投诉的机构”。另一家参与会议的私募高管也向记者确认了这一消息,称注册地为天津市的11家私募将遭遇监管现场检查。
记者查阅中国基金业协会数据发现,截至2月28日,天津地区管理规模100亿元以上的私募股权基金共10家,占同等规模私募股权基金总数的12.6%;管理规模50~100亿元的私募股权基金共16家,占比11.7%。
同时,陕西证监局已研究制定了2017年私募基金专项检查工作方案:按照“问题导向+随机抽取”原则,对管理规模30亿元以上的私募股权机构和10亿元以上的私募证券机构全覆盖,将业务活跃和复杂程度高、自然人投资者数量多的机构列为检查重点,确定了8家私募机构为检查对象。
中基协统计数据显示,截至2月28日,陕西地区管理规模30亿元以上的私募股权基金和10亿元以上的私募证券基金仅4家,分别为陕西国开旅游产业基金、西安嘉仁投资、西安远山投资和陕西景唐投资。根据“全覆盖”原则,这4家机构被陕西证监局进行专项检查。
值得一提的是,为督导辖区私募基金管理人提高规范运作意识,陕西证监局还向辖区108家私募基金管理人下发自查通知,要求对照公司业务链条全面梳理合规风控制度及运行情况,做好业务运行风险评估工作,按时上报自查报告。
参照证券、期货资管业务检查要求,陕西证监局还补充增加了“关于关联机构之间的业务隔离、利益冲突和输送、结构化产品杠杆率、有无‘资金池"等差异化重点检查内容。
事涉上百家私募
据了解,春节过后,证监会即向各地证监局内部下发了《关于开展2017年私募基金专项检查的通知》,要求证监局开展辖区2017年私募基金管理机构现场检查工作。
除了天津和陕西证监局,已有上海、四川、江西三地证监局正式启动了2017年的私募基金抽查工作,共有33家私募机构成为监管部门的抽查对象。私募基金管理人登记备案、合格投资者、资金募集、信息披露及利益冲突防范等投资运作行为的合规情况将是重点抽检内容。
可以明确的是,五地证监局此轮私募基金专项检查已涉及了数百家机构,私募已被纳入地方证监局常规抽查范围。
上海证监局采用电脑随机抽取程序,共抽取13家私募证券投资机构和13家跨区域私募股权投资机构,包括朱雀投资、耀之资产、融葵投资、赛领资本、银象资产等在内的26家知名私募机构“中彩”。
与上海证监局同期开展私募基金现场检查的,还有四川证监局和江西证监局。
四川证监局近日采用了“随机抽签”方式,对海之翼基金、富邦金马、成都通衍、双流英飞尼迪等4家私募机构进行专项检查;江西证监局则根据管理基金规模和合规风险从当地35家私募机构中进行分层抽取后,对万方资产、沣盈资产、红连天资产等3家私募进行现场检查。
dafhdier
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Re: 五地证监局启动私募基金专项检查 事涉上百家机构
March 01, 2017, 05:13:40 AM
#2
为督导辖区私募基金管理人提高规范运作意识,有必要对这些私募基金进行监管。
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