【摘要】：證券公司綜合治理前資產(chǎn)管理業(yè)務(wù)極不規(guī)范。綜合治理為券商集合資產(chǎn)管理業(yè)務(wù)規(guī)范發(fā)展奠定了制度基礎(chǔ),集合資產(chǎn)管理業(yè)務(wù)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(chǎn)管理業(yè)務(wù)發(fā)展中存在的規(guī)模弱小、運(yùn)行效率不高、產(chǎn)品銷售存在制約、產(chǎn)品發(fā)行與投資主流和市場運(yùn)行存在偏差、風(fēng)險(xiǎn)管理與產(chǎn)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(qiáng)監(jiān)管,拓展?fàn)I銷,鼓勵(lì)券商進(jìn)行業(yè)務(wù)創(chuàng)新等推動(dòng)集合資產(chǎn)管理業(yè)務(wù)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(huì)重慶監(jiān)管局;
【分類號】：F832.51

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本文編號：2449845