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券商风控新规贴近实际提升资本监管广度和深度

来源: 南方日报网络版     时间: 2019年07月16日 03:17:06
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(  券)(商)(风)(控)(体)(系)(出)(现)(了)(新)(的)(调)(整)(。上)(周)(五)(,证)(监)(会)(出)(台)(了)(修)(订)(后)(的)(《证)(券)(公)(司)(风)(险)(控)(制)(指)(标)(管)(理)(办)(法)(》,通)(过)(改)(进)(净)(资)(本)(、风)(险)(资)(本)(准)(备)(计)(算)(公)(式)(,完)(善)(杠)(杆)(率)(、流)(动)(性)(监)(管)(等)(指)(标)(,明)(确)(逆)(周)(期)(调)(节)(机)(制)(等)(,提)(升)(资)(本)(监)(管)(的)(广)(度)(和)(深)(度)(,优)(化)(监)(管)(防)(范)(风)(险)(,凸)(显)(了)(监)(管)(层)(呵)(护)(资)(本)(市)(场)(发)(展)(之)(意)(。  就)(如)(硬)(币)(的)(两)(面)(,此)(次)(券)(商)(风)(控)(新)(规)(松)(紧)(并)(举)(,既)(为)(证)(券)(行)(业)(净)(资)(本)(释)(放)(提)(供)(了)(空)(间)(,又)(从)(多)(方)(面)(提)(高)(了)(对)(证)(券)(公)(司)(风)(险)(管)(理)(的)(要)(求)(。  一)(方)(面)(,券)(商)(风)(控)(新)(规)(“放)(松)(”以)(往)(的)(单)(纯)(以)(净)(资)(本)(为)(核)(心)(的)(证)(券)(公)(司)(风)(险)(控)(制)(指)(标)(要)(求)(,改)(进)(净)(资)(本)(、风)(险)(资)(本)(准)(备)(计)(算)(公)(式)(,提)(升)(资)(本)(质)(量)(和)(风)(险)(计)(量)(的)(针)(对)(性)(。不)(仅)(依)(据)(资)(本)(吸)(收)(损)(失)(能)(力)(的)(不)(同)(,将)(净)(资)(本)(区)(分)(为)(核)(心)(净)(资)(本)(和)(附)(属)(净)(资)(本)(,有)(效)(提)(升)(资)(本)(质)(量)(和)(抵)(御)(风)(险)(的)(能)(力)(,还)(针)(对)(金)(融)(资)(产)(重)(复)(计)(算)(的)(问)(题)(,将)(金)(融)(资)(产)(的)(风)(险)(调)(整)(统)(一)(纳)(入)(风)(险)(资)(本)(准)(备)(计)(算)(,不)(再)(重)(复)(扣)(减)(净)(资)(本)(,此)(外)(,还)(按)(业)(务)(类)(型)(计)(算)(整)(体)(风)(险)(资)(本)(准)(备)(调)(整)(为)(按)(照)(市)(场)(风)(险)(、信)(用)(风)(险)(、操)(作)(风)(险)(等)(风)(险)(类)(型)(分)(别)(计)(算)(,提)(升)(风)(险)(计)(量)(的)(针)(对)(性)(。由)(于)(金)(融)(资)(产)(不)(再)(重)(复)(扣)(减)(净)(资)(本)(,这)(无)(疑)(将)(为)(大)(多)(数)(券)(商)(释)(放)(出)(一)(定)(量)(的)(净)(资)(本)(,同)(时)(,因)(风)(险)(覆)(盖)(率)(不)(得)(低)(于)(100%,调)(整)(后)(的)(行)(业)(平)(均)(风)(险)(覆)(盖)(率)(约)(为)(200%,风)(险)(覆)(盖)(率)(有)(效)(性)(将)(得)(到)(提)(高)(。  另)(一)(方)(面)(,券)(商)(风)(控)(新)(规)(“收)(紧)(”对)(行)(业)(的)(风)(控)(监)(测)(,加)(强)(全)(面)(风)(险)(管)(理)(。从)(制)(度)(建)(设)(、组)(织)(架)(构)(、人)(员)(配)(备)(、系)(统)(建)(设)(、指)(标)(体)(系)(、应)(对)(机)(制)(等)(六)(个)(方)(面)(要)(求)(券)(商)(提)(升)(风)(险)(管)(理)(水)(平)(,优)(化)(了)(流)(动)(性)(监)(控)(指)(标)(,强)(化)(资)(产)(负)(债)(的)(期)(限)(匹)(配)(,将)(流)(动)(性)(覆)(盖)(率)(和)(净)(稳)(定)(资)(金)(率)(两)(项)(流)(动)(性)(风)(险)(监)(管)(指)(标)(纳)(入)(到)(指)(标)(体)(系)(,并)(且)(,考)(虑)(表)(内)(表)(外)(业)(务)(、直)(接)(间)(接)(影)(响)(、个)(体)(整)(体)(风)(险)(,实)(现)(风)(险)(监)(测)(监)(控)(全)(覆)(盖)(。  这)(一)(松)(一)(紧)(考)(虑)(到)(了)(行)(业)(风)(险)(和)(市)(场)(状)(况)(的)(变)(化)(,凸)(显)(了)(逆)(周)(期)(调)(节)(机)(制)(的)(艺)(术)(,传)(达)(了)(监)(管)(层)(推)(进)(资)(本)(市)(场)(沿)(着)(市)(场)(化)(路)(径)(改)(革)(的)(决)(心)(。  值)(得)(注)(意)(的)(是)(,新)(规)(中)(有)(关)(杠)(杆)(率)(指)(标)(的)(调)(整)(,被)(不)(少)(市)(场)(人)(士)(理)(解)(为)(监)(管)(层)(鼓)(励)(券)(商)(“加)(杠)(杆)(”,这)(实)(为)(误)(读)(。新)(规)(将)(此)(前)(两)(个)(同)(属)(杠)(杆)(控)(制)(的)(指)(标)(优)(化)(为)(一)(个)(资)(本)(杠)(杆)(率)(指)(标)(,即)(核)(心)(净)(资)(本)(比)(表)(内)(外)(资)(产)(总)(额)(,并)(设)(定)(不)(低)(于)(8%的)(监)(管)(要)(求)(,主)(要)(目)(的)(在)(于)(根)(据)(证)(券)(行)(业)(的)(业)(务)(特)(点)(和)(风)(险)(类)(型)(,将)(原)(来)(未)(纳)(入)(杠)(杆)(计)(算)(的)(证)(券)(衍)(生)(品)(、资)(产)(管)(理)(等)(表)(外)(业)(务)(纳)(入)(控)(制)(,使)(风)(险)(覆)(盖)(更)(全)(面)(,杠)(杆)(计)(算)(更)(合)(理)(。  优)(化)(调)(整)(后)(,原)(来)(的)(两)(个)(杠)(杆)(控)(制)(指)(标)(理)(应)(取)(消)(,鉴)(于)(《证)(券)(法)(》明)(确)(证)(监)(会)(应)(当)(对)(上)(述)(指)(标)(比)(例)(作)(出)(规)(定)(,因)(此)(继)(续)(保)(留)(这)(两)(个)(杠)(杆)(控)(制)(指)(标)(。但)(为)(避)(免)(与)(资)(本)(杠)(杆)(率)(指)(标)(冲)(突)(和)(重)(复)(,拟)(将)(净)(资)(产)(比)(负)(债)(指)(标)(由)(不)(得)(低)(于)(20%调)(整)(至)(10%,未)(来)(主)(要)(通)(过)(资)(本)(杠)(杆)(率)(对)(公)(司)(杠)(杆)(进)(行)(约)(束)(。  此)(外)(,8%资)(本)(杠)(杆)(率)(的)(倒)(数)(所)(算)(出)(的)(倍)(数)(不)(是)(通)(常)(意)(义)(的)(财)(务)(杠)(杆)(倍)(数)(,按)(资)(本)(杠)(杆)(率)(8%的)(监)(管)(标)(准)(进)(行)(测)(算)(,并)(结)(合)(流)(动)(性)(指)(标)(要)(求)(,财)(务)(杠)(杆)(率)(大)(体)(为)(6倍)(左)(右)(,与)(现)(行)(办)(法)(的)(要)(求)(基)(本)(相)(当)(,杠)(杆)(水)(平)(未)(增)(加)(。
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