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证监会副主席李超:推进看穿式监管坚定改革开放

2018年10月02日 04:22来源:网络整理手机版

人民网北京9月21日电 (吕骞)“九层之台,起于累土。抓(资本市场)一线监管,必须抓好基础建设。”9月21日,证监会副主席李超在2018年证券交易所一线监管国际研讨会上致辞时表示,证监会正在推进看穿式监管等一线监管工作。

三方面加强交易所一线监管

“市场发展很快,创新突飞猛进,证券交易所必须不断适应形势变化,改进监管,夯实基础。”李超表示,证监会正在推进看穿式监管,强化会员对客户交易行为的管理,以及加快监管科技建设。

第一,推进看穿式监管。中国的证券账户是直接持有,一人一码,集中存管,为一线监管提供了基础支撑。值得一提的是,在中国内地与香港的共同努力下,沪深港通北向看穿机制即将实施,通过为北向投资者配发识别码,实现了看穿式监管与间接持有体系的对接。

第二,强化会员对客户交易行为的管理。会员有了解客户的优势,也有这个义务。很多国家在这方面有成熟的做法值得借鉴。近两年,证监会通过修订规则、完善系统、开展培训、现场检查等措施,督促会员落实好客户管理的职责,筑牢第一道防线。为更好发挥会员的作用,从今年6月起,证监会启动了一项比较庞大的培训计划,准备在两年内对全国1万多家证券公司营业部负责人全部培训一遍。

第三,极速体育,加快监管科技建设。伴随着大数据、云计算、人工智能等新技术的蓬勃发展,资本市场变得更加复杂,监管技术和能力的提升也有了更多可能。证监会制定并正在实施监管科技总体建设方案,充分运用技术手段监测市场风险,给上市公司和投资者画像,识别跨境、跨交易所、跨账户异常交易,精准打击违法违规行为。

坚定推进资本市场改革开放

李超还表示,中国的资本市场是改革开放的产物。在不到30年的时间里,形成了多层次资本市场体系的基本架构,服务实体经济的能力不断增强。事实证明,只有坚定推进改革开放,资本市场才能充满活力。

据介绍,今年以来,中国资本市场的改革开放全面提速。包括:推动完善上市公司股份回购制度,推进员工持股计划试点,大幅放宽证券期货基金经营机构外资持股比例限制,扩大沪深港通每日额度,进一步放开外国人开立证券账户,原油期货成功上市,积极筹备沪伦通,等等。

李超也提到,旅行社,中国的资本市场还是一个成长中的市场,有广阔的空间,也有成长的烦恼。证监会将继续按照市场化、法治化、国际化的方向,以更大的力度推进资本市场改革开放,扩大境内外合作。

(责编:冯人綦、曹昆)

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