【摘要】：證券公司綜合治理前資產管理業(yè)務極不規(guī)范。綜合治理為券商集合資產管理業(yè)務規(guī)范發(fā)展奠定了制度基礎,集合資產管理業(yè)務重獲新生,得到了很大發(fā)展。本文著重分析了券商集合資產管理業(yè)務發(fā)展中存在的規(guī)模弱小、運行效率不高、產品銷售存在制約、產品發(fā)行與投資主流和市場運行存在偏差、風險管理與產品創(chuàng)新不夠等問題,提出了樹立"逆周期監(jiān)管"理念,放松管制,加強監(jiān)管,拓展營銷,鼓勵券商進行業(yè)務創(chuàng)新等推動集合資產管理業(yè)務持續(xù)健康發(fā)展的監(jiān)管對策。
[Abstract]:The business of asset management before comprehensive management of securities companies is extremely non-standard. Comprehensive governance has laid the institutional foundation for the standardized development of securities firms' pooled asset management business, and the integrated asset management business has been reborn and greatly developed. This paper focuses on the analysis of the weak scale, low operating efficiency, product sales constraints, the mainstream of product issuance and investment and the deviation of market operation in the development of securities firms' pooled asset management business, which are weak in scale, inefficient in operation, and restricted in product sales. Some problems such as insufficient risk management and product innovation are put forward to set up the concept of "counter-cyclical supervision", relax regulation, strengthen supervision and expand marketing. Encourage securities firms to carry out business innovation and other regulatory measures to promote the sustainable and healthy development of pooled asset management business.
【作者單位】： 中國證監(jiān)會重慶監(jiān)管局;
【分類號】：F832.51

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