宁波市证券投资基金业协会


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	&nbsp; &nbsp; &nbsp; &nbsp; 为促进辖区证券类私募基金管理人与全国证券期货经营机构的沟通交流，扩大辖区私募的知名度及影响力，2019年4月8日至12日，我会组织宁聚投资、美港投资、宝荟投资、幻方量化等8家证券类管理人赴福建福州、厦门两地，走访福建省证券期货业协会、厦门证券期货业协会，走访兴业证券、长城国瑞证券、华福证券等多家券商总部，参观兴业证券投教基地、华福证券“三坊七巷”国家级投教基地。<br>
	<img alt="" src="/uploads/190416/1-1Z4161G333595.png" style="width: 725px; height: 370px;"><br>
	<img alt="" src="/uploads/190416/1-1Z4161GH4E6.png" style="width: 725px; height: 544px;"><br>
	<img alt="" src="/uploads/190416/1-1Z4161GSb49.png" style="width: 725px; height: 967px;"><br>
	&nbsp; &nbsp; &nbsp; &nbsp; 同时，在福州、厦门两地分别召开证券期货经营机构渠道合作交流会。交流会上，8家证券类私募基金管理人分别介绍了自身发展的现状、团队组成、产品理念与风险控制等方面的情况，当地券商也具体介绍当地金融情况及自身优势、特点，以期能为私募机构提供更为精准的服务。<br>
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	<img alt="" src="/uploads/190416/1-1Z4161H220496.png" style="width: 725px; height: 544px;"><br>
	&nbsp; &nbsp; &nbsp; &nbsp; 最后的互动交流环节，双方针对私募服务及基金销售等业务进行了深入分析探讨，为进一步合作奠定了基础。<br>
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宁波辖区部分证券类私募基金管理人渠道合作交流会 “福建站”成功举办


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	<span style="color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify;">&nbsp; &nbsp; &nbsp; 第五届中国（宁波）私募基金峰会将于2019年4月27日至28日在宁波市鄞州区南苑环球酒店召开，特发此邀请函，欢迎大家踊跃报名！</span>
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		报名方式：</p>
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		&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;扫描右下角二维码即可在邀请函最后一页进行报名。报名截止日期：2019年4月18日17:00。最终报名结果以峰会组委会短信通知为准。</p>
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第五届中国（宁波）私募基金峰会邀请函


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	<img alt="" src="/uploads/190329/1-1Z329104S3350.png" style="width: 725px; height: 484px;"></div>
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	&nbsp; &nbsp; &nbsp; &nbsp;<br>
	&nbsp; &nbsp; &nbsp; &nbsp;2019年3月27日下午，“资本市场服务实体经济——宁波企业科创板实务培训”在南苑新芝宾馆举行。本次培训由宁波上市公司协会、宁波市证券期货业协会、宁波市证券投资基金业协会主办，光大证券浙江分公司承办。培训围绕科创板制度规则、核心条件、业务辅导、会计、法律等方面，就企业如何登陆科创板进行程序性实务讲课。辖区部分上市公司、拟上市公司、新三板企业、股权机构、金融机构等企业代表二百余人参加了会议。<br>
	&nbsp; &nbsp; &nbsp; &nbsp;会上，光大证券机构业务部总经理潘剑云和投行产业客户部总经理孙蓓对科创板制度体系、上市规则及审核理念等作了全面解读，光大证券投行浙江业务部总经理丁筱云讲解了科创板上市流程与要求。</div>
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	&nbsp; &nbsp; &nbsp; &nbsp;随后，立信会计师事务所宁波分所所长罗国芳讲解了科创板IPO企业估值、科研投入、税金等重要财务问题。和义观达律师事务所高级合伙人王冶就科创板规则及上市条件、信息披露、科创板公司治理等法律实务问题做了细致分享。</div>
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	&nbsp; &nbsp; &nbsp; &nbsp;最后，会议在热烈的互动交流中圆满结束。</div>
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“资本市场服务实体经济——宁波企业科创板实务培训” 顺利举办


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							<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 15px; text-indent: 34px;">在2019年春暖花开的日子，中国资本市场迎来了科创板并试点注册制的推出，这是我国多层次资本市场建设的又一重大里程碑。</span></p>
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<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; font-variant-numeric: normal; font-variant-east-asian: normal; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; text-indent: 2em; box-sizing: border-box !important; overflow-wrap: break-word !important; text-align: justify;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 15px;">为贯彻落实党的十九大精神，坚持以人民为中心的发展思想，进一步做好投资者教育和权益保护工作，切实维护广大投资者合法权益，宁波证监局以“3.15国际消费者权益日”为契机，组织开展“</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 15px; color: rgb(0, 122, 170);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">走近科创，你我同行</strong></span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 15px;">”投资者教育宣传活动，<span style="margin: 0px; padding: 0px; max-width: 100%; font-variant-numeric: normal; font-variant-east-asian: normal; letter-spacing: 0.544px; line-height: 27.2px; box-sizing: border-box !important; overflow-wrap: break-word !important;">向广大投资者宣传科创板制度安排，便于投资者认识科创板并试点注册制改革的重要意义，全面了解市场知识和规则，揭示相关风险，使投资者树立并坚持理性投资、价值投资和长期投资的投资理念。</span></span></p>
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	<img alt="" src="/uploads/190319/1-1Z319105I6492.jpg" style="width: 725px; height: 967px;"></p>
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	<img alt="" src="/uploads/190319/1-1Z319110006108.jpg" style="width: 725px; height: 967px;"></p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; font-variant-numeric: normal; font-variant-east-asian: normal; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; box-sizing: border-box !important; overflow-wrap: break-word !important;">
	<span style="color: rgb(0, 122, 170); font-size: 15px; font-variant-numeric: normal; font-variant-east-asian: normal; letter-spacing: 1.5px; line-height: 24.5px; text-align: justify; text-indent: 34px; background-color: rgba(255, 255, 255, 0.8);">&nbsp; &nbsp; 欢迎广大投资者关心关注资本市场改革，充分了解资本市场投资机会和风险，掌握投资知识，同时警惕非法机构和人员引诱，主动辨识违规行为，提升风险防范意识，远离投资骗局，通过合法途径理性维权。</span></p>
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“走近科创，你我同行”3.15金融消费权益保护宣传活动


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	<span style="font-size:16px;"><strong>宁波企业科创板实务培训</strong></span><br>
	&nbsp;</div>
<div>
	一、地点：宁波&nbsp;</div>
<div>
	二、时间：3月27日（周三）13：30-17：30</div>
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	三、会场地址：宁波南苑新芝宾馆新芝厅（宁波市海曙区永丰西路215号）</div>
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	四、会议内容：</div>
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	1.科创板制度规则解读&nbsp;</div>
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	主讲：光大证券投行产业客户部总经理 孙蓓&nbsp;</div>
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	2.企业科创板上市实务&nbsp;</div>
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	主讲：光大证券投行浙江业务部总经理 丁筱云&nbsp;</div>
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	3.科创板上市会计实务&nbsp;</div>
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	主讲：立信会计师事务所宁波分所所长 罗国芳&nbsp;</div>
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	4.科创板上市法律实务&nbsp;</div>
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	主讲：和义观达律师事务所高级合伙人 王冶</div>
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	5、报名方式：</div>
<div>
	点击报名链接<a href="https://h.eqxiu.com/s/ZZrX0Nf6">https://h.eqxiu.com/s/ZZrX0Nf6</a>或扫描下面二维码进入报名页面。</div>
<div>
	<br>
	<br>
	<br>
	<img alt="" src="/uploads/190318/1-1Z31Q53T3306.png" style="height: 102px; width: 102px;"></div>
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宁波企业科创板实务培训


						<p></p><p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; line-height: 37px; text-align: center;">
	<strong style="margin: 0px; padding: 0px;"><span style="margin: 0px; padding: 0px; font-size: 24px; font-family: 仿宋;">&nbsp;</span></strong><span style="margin: 0px; padding: 0px; font-family: 黑体; font-size: 29px;">理性投资 谨慎决策</span></p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: center;">
	<span style="margin: 0px; padding: 0px; font-size: 29px; font-family: 黑体;">——远离非法证券投资咨询</span></p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify;">
	<span style="margin: 0px; padding: 0px; font-size: 19px; font-family: 仿宋;">&nbsp;</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">近年来，随着证券投资需求的不断增加，各类股市“老师”“专家”“股神”粉墨登场，究竟谁是真专家，谁是伪大师？投资者应该如何识别合法的证券投资咨询机构，又该如何理性选择投资咨询服务呢?六招教您理性投资，远离非法证券投资咨询。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">一看业务资质。从事证券投资咨询业务的机构需要取得中国证监会核准的证券投资咨询业务资质。投资者可以通过登录中国证监会官方网站(www.csrc. gov.cn)、中国证券业协会官方网站(www.sac.net.cn)查询到合法证券投资咨询机构名单。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">二看执业资格。除了证券投资咨询机构需要取得中国证监会许可的业务资质外，证券投资咨询机构向客户提供证券投资顾问服务人员也应具有证券投资咨询执业资格。投资者可以通过中国证券业协会官方网站中的从业人员执业注册信息公示，查询相关人员是否具有证券投资咨询执业资格。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">三看营销方式。证券投资属于高风险投资，任何机构或个人向投资者承诺“稳赚不赔”“保证收益”都是没有根据或难以实现的。证券法律法规规章明文规定禁止证券投资咨询机构对其服务能力和过往业绩进行夸大或虚假宣传，更禁止以任何方式向投资者承诺或保证投资收益。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">四看投顾协议。投资者在与证券投资咨询机构签订投资顾问协议前，证券投资咨询机构需要对投资者风险承受能力和服务需求进行充分了解;投资顾问协议要明确证券投资顾问服务的内容与方式、职责与禁止行为、争议或纠纷解决方式等条款;证券投资咨询机构要充分说明投资风险，并让投资者签署具备中国证券业协会规定必备条款的书面风险揭示书。投资者可通过中国证券业协会官方网站“自律规则”栏，查询中国证券业协会发布的《证券投资顾问业务风险揭示书必备条款》。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">五看汇款账户。合法的证券投资咨询机构只能以其自身公司名义对外开展投资咨询业务，也只能以公司名义开立银行账户，不能使用个人银行账户、非本机构银行账户或是微信转账等第三方平台收取任何费用。投资者在汇款环节应当格外谨慎，切勿向合法投资咨询机构专用收款账户以外的其他账户特别是个人账户汇款。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; line-height: 1.75em; text-indent: 2em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">六须依法维权。投资者在接受合法证券投资咨询机构服务过程中，若发现该机构或其工作人员存在违反证券法律法规规章的情形，可持相关证据线索材料向监管部门举报;若投资者与证券投资咨询机构间存在合同争议纠纷，可通过调解、仲裁、诉讼等民事渠道维护自身合法权益。中证中小投资者服务中心宁波调解站和宁波仲裁委员会证券期货仲裁中心可向您提供调解服务，联系电话分别为:0574-83028075,0574-87063389。一旦发现可能涉嫌犯罪的，可向当地公安机关举报。</span></p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify;">
	&nbsp;</p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: center;">
	<span style="margin: 0px; padding: 0px; font-size: 29px; font-family: 黑体;">配资有风险&nbsp; 亏损两行泪</span></p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: center;">
	<span style="margin: 0px; padding: 0px; font-size: 29px; font-family: 黑体;">​——理性投资，远离场外配资</span></p>
<p style="margin: 0px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify;">
	<span style="margin: 0px; padding: 0px; font-size: 20px; font-family: 仿宋_GB2312;">&nbsp;</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">春节后A股持续反弹，市场风险偏好有所修复，融资客参与热情明显升温，偃旗息鼓三年多的场外高杠杆配资有死灰复燃的迹象。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 黑体;">一、场外配资的基本业务模式</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">场外配资本质上是一种资金借贷关系，配资公司将自有资金和从市场募集来的资金通过平台借给投资者，实现投资者的杠杆交易。配资公司提供证券账户和资金，收取利息。为了确保出借资金的安全，配资公司实时监控客户账户资金情况，设置平仓线和预警线，当客户资金到达预警线，配资公司会通知客户自行减仓或补保证金，一旦客户资金触及平仓线，配资公司有权立即平仓。场外配资的杠杆率极高，常常达10倍以上，远远高于场内配资（融资融券）1倍的杠杆率，年化利率一般在20%至33%之间，也远远高于场内配资的6%至9%。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 黑体;">二、场外配资公司招揽客户的常用套路</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">场外配资公司通过电话营销、手机短信、即时通讯软件、邮箱群发、财经网站广告页、自媒体等多种渠道向普通投资者介绍配资业务。为迅速吸引关注，发展业务，场外配资的宣传五花八门，“低门槛、10倍杠杆、配资资金秒到账”，“充值则免息再送红包”等等，还有的配资公司违规做起了“配资+个股推荐”业务，极具煽动性和诱惑力。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 黑体;">三、投资者应理性投资防范风险</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">风险极高。一般来讲，配资公司为了“拉客”避而不谈高杠杆风险，实际上投资者的交易风险被放大了好多倍，一旦市场下跌幅度较大，就会让参与高杠杆配资的投资者瞬间爆仓，亏的血本无归，甚至背上巨额配资债务。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">账户安全性无保障。投资者账户由投资者和配资公司共同掌握，由于配资公司并非从事证券经纪业务的合法机构，没有内控、风控和外部监督，因而游离在法律监管的灰色地带。一旦配资公司萌生贪念，就可能铤而走险，卷款潜逃。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; clear: both; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; text-align: justify; text-indent: 40px; line-height: 1.75em;">
	<span style="margin: 0px; padding: 0px; font-family: 仿宋_GB2312;">高风险的场外配资与个人投资者风险承受力明显不匹配，投资者应当牢记前些年场外配资造成股民惨重损失的教训，对形形色色的宣传保持清醒，坚持余钱投资、理性投资、价值投资。如确有融资需求，可通过合法的证券经营机构进行融资融券交易。</span></p>
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金融消费者权益日宣传


						<p></p><div id="img-content" style="margin: 0px; padding: 0px; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: medium; letter-spacing: 0.544px;">
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		<p style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; clear: both; min-height: 1em;">
			<span style="font-family: 宋体; letter-spacing: 0.544px; text-indent: 34px;">&nbsp; &nbsp;2月22日下午，“私募基金管理人渠道对接路演【私享会</span><span style="margin: 0px; padding: 0px; font-family: 宋体; letter-spacing: 0.544px; text-indent: 34px; max-width: 100%;">】</span><span style="font-family: 宋体; letter-spacing: 0.544px; text-indent: 34px;">”在月湖金汇小镇顺利召开。宁波比高世纪、川砺投资、青湖投资、霁泽投资四家私募基金管理人受邀作为分享嘉宾出席活动。光大证券、招商证券、兴业期货等20余家金融服务机构代表参加了此次会议。</span></p>
		<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; box-sizing: border-box !important; word-wrap: break-word !important; text-align: center;">
			<img alt="" src="/uploads/190226/1-1Z2261611023C.png" style="width: 725px; height: 461px;"></p>
		<p style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; clear: both; min-height: 1em; text-indent: 32px; line-height: 25.5px;">
			<span style="margin: 0px; padding: 0px; letter-spacing: 0.544px; text-indent: 2em; max-width: 100%; font-family: 宋体; line-height: 24px; box-sizing: border-box !important; word-wrap: break-word !important;">四家私募基金管理人就公司基本情况、投资理念及投资策略做了详细介绍，也就近几年公司业绩做了展示。</span></p>
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			<img alt="" src="/uploads/190226/1-1Z226161120C1.png" style="width: 725px;"></p>
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			<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-family: 宋体; line-height: 24px; font-size: 16px;"><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">展示环节结束后，四家管理人对</span>2019年市场行情做了简单的个人观点分析和判断，并对各参会来宾的提问进行了详细解答，也对后续合作的可能做了深入的交流。</span></p>
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			<span style="font-family: 宋体; letter-spacing: 0.544px; text-indent: 34px;">最后，此次活动在热烈的讨论声中圆满结束。</span></p>
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私募基金管理人渠道对接路演【私享会】成功举办


						<p></p><p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<img _width="360px" crossorigin="anonymous" data-="" data-fail="0" data-ratio="0.5555555555555556" data-s="300,640" data-type="jpeg" data-w="360" src="/uploads/190216/1-1Z2161033325B.jpg" style="margin: 0px; padding: 0px; max-width: 100%; width: 360px; box-sizing: border-box !important; word-wrap: break-word !important; visibility: visible !important; height: 200px;"></p>
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	　　2019年2月13日，证监会党委委员、副主席李超主持召开座谈会，听取部分行业专家、证券公司、基金管理公司、创投机构和科创企业代表对设立科创板并试点注册制相关制度规则的意见建议。证监会首席律师焦津洪出席会议，证监会有关部门和上交所负责同志参加会议。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　参会代表肯定了设立科创板并试点注册制的总体制度框架，认为坚持了市场化、法治化改革方向，体现了设立科创板并试点注册制作为重大增量改革的试验田作用。对把握好科创板定位、发行、定价、承销、上市、信息披露、各类主体归位尽责等方面提出了意见建议。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　李超表示，大家提出的意见建议对完善科创板相关制度规则很有价值，证监会将认真研究论证，充分吸收采纳合理建议。下一步，证监会及上交所将深入贯彻落实中央全面深化改革委员会第六次会议精神，抓紧完善相关制度规则，稳步有序做好规则发布、人员准备、技术改造等方面的工作，全力落实好设立科创板并试点注册制改革这项工作。</p>
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证监会召开设立科创板并试点注册制相关制度规则征求意见座谈会


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	<img _width="360px" crossorigin="anonymous" data-="" data-fail="0" data-ratio="0.5555555555555556" data-s="300,640" data-type="jpeg" data-w="360" src="/uploads/190216/1-1Z21610315W38.jpg" style="margin: 0px; padding: 0px; max-width: 100%; width: 360px; box-sizing: border-box !important; word-wrap: break-word !important; visibility: visible !important; height: 200px;"></p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　近日，少数不法人员利用自媒体肆意发布针对资本市场监管政策和改革举措的虚假信息，经有关媒体网站转发后迅速传播，严重扰乱市场秩序，社会影响极为恶劣。证监会组织稽查力量，即刻开展全方位线索排查、溯源分析和调查布控等工作，现已初步查明，陈某、林某、王某等人及相关媒体平台涉嫌编造传播“新任证监会主席记者招待会”等虚假信息，违反《证券法》有关规定。下一步，我会将严肃追究相关当事人的违法责任。涉嫌犯罪的，依法移送公安机关。</p>
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	　　编造传播虚假信息是证券期货法律法规严格禁止的行为，历来是证监会稽查执法打击重点。近年来，证监会依法履行监管职责，坚决查处编造传播虚假信息行为。2016年以来共办理相关案件17起，依法做出行政处罚13起，对同花顺网络、曾改雄、曹磊等人进行了严肃查处；2起案件移送公安机关采取治安处罚措施。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　我会将继续对编造传播证券期货虚假信息行为严密盯防、快速反应、严肃查处，全力维护资本市场信息传播秩序。传播媒介及其从业人员应坚守新闻真实原则，勿要刊载、传播缺乏事实依据的传言消息。同时，也提醒广大投资者坚持不信谣、不传谣，避免自身利益受到损害。</p>
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证监会对近日编造传播虚假信息案件进行调查


						<p></p><p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; widows: 1; text-indent: 2em; line-height: 1.75em; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">根据中国证券投资基金业协会（以下简称“协会”）发布的《私募投资基金管理人登记和基金备案办法（试行）》、《关于进一步规范私募基金管理人登记若干事项的公告》（以下简称《公告》）及《关于加强私募基金信息披露自律管理相关事项的通知》（以下简称《通知》），</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">截至2019年1月底，协会已将4040家未按时履行信息报送义务的私募基金管理人作为异常机构对外公示。</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">其中，</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">未按时通过</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">资产管理业务综合报送平台（以下简称“AMBERS系统</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">”</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">）</span><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(0, 0, 0); font-size: 16px; text-indent: 2em;">履行季度更新义务累计达2次的私募基金管理人3376家，未按时通过私募基金信息披露备份系统（以下简称“信披备份系统”）备份私募证券投资基金2018年第三、四季度季报、私募股权（含创业）投资基金2018年半年报累计达2次的私募基金管理人1078家，未按时通过AMBERS系统提交年度经审计财务报告的私募基金管理人879家。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; widows: 1; text-indent: 2em; line-height: 1.75em; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px; color: rgb(0, 0, 0);">《公告》及《通知》发布以来，私募基金管理人积极履行信息报送更新及备份义务，填报质量得到有效提升。截至2019年1月底，AMBERS系统中私募基金2018年第四季度信息更新完成率达到92.04%，信披备份系统中私募证券投资基金2018年第四季度信息披露报告备份完成率达92.45%，私募股权（含创业）投资基金2018年半年度信息披露报告备份完成率达86.50%。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; widows: 1; text-indent: 2em; line-height: 1.75em; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px; color: rgb(0, 0, 0);">协会着眼于不断强化私募基金行业主动自律、行为自律及过程自律，推动市场化信用博弈和信用约束，充分发挥业务规则和行为规范的矫正作用，建设和完善私募基金行业治理体系。已登记私募基金管理人应当遵守法律法规及协会相关自律规则，按规定及时通过AMBERS系统填报业务数据并进行信息更新，通过信披备份系统履行私募基金信息披露备份义务，确保自身业务的持续合规运营。被列入异常机构的私募基金管理人应当珍视自身行业声誉和诚信记录，及时进行合规整改，避免影响正常业务开展。</span></p>
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【协会公告】中国证券投资基金业协会私募基金管理人异常公示情况通报


						<p></p><p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<img alt="" src="/uploads/190216/1-1Z21610302T50.jpg" style="width: 360px; height: 200px;"></p>
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	　　日前，证监会就修订整合《合格境外机构投资者境内证券投资管理办法》《人民币合格境外机构投资者境内证券投资试点办法》及相关配套规则向社会公开征求意见。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　我国于2002年和2011年，先后实施合格境外机构投资者（QFII）和人民币合格境外机构投资者（RQFII）制度试点。截至2018年底，QFII总额度1500亿美元（目前已增至3000亿美元），共有309家境外机构获得QFII资格，获批额度1011亿美元；RQFII制度从香港扩大到19个国家和地区，总额度19400亿元人民币，共有233家境外机构获得RQFII资格，获批额度6467亿元人民币。两项制度总体运行平稳，对引进境外长期资金、优化投资者结构、引导价值投资、完善上市公司治理、促进资本市场健康发展发挥了积极作用。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　近年来，我国经济进入高质量发展阶段，资本市场双向开放逐步扩大，现行QFII、RQFII制度在准入条件、投资运作和持续监管等方面已不适应新的市场环境。为解决QFII、RQFII制度存在的问题，实施资本市场高水平对外开放，引进更多境外长期资金，证监会对《合格境外机构投资者境内证券投资管理办法》及其配套规则、《人民币合格境外机构投资者境内证券投资试点办法》及其配套规则进行了修订整合，形成了《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法（征求意见稿）》（以下简称《管理办法》）和《关于实施〈合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法〉有关问题的规定（征求意见稿）》（以下简称《实施规定》）。主要修订内容如下：</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">一是合并两项制度。</strong>将QFII、RQFII两项制度合二为一，整合有关配套监管规定，形成统一的《管理办法》和《实施规定》。境外机构投资者只需申请一次资格，尚未获得RQFII额度的国家和地区的机构，仍以外币募集资金投资。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">二是放宽准入条件。</strong>取消数量型指标要求，保留机构类别和合规性条件。同时，简化申请文件，缩短审批时限。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">三是扩大投资范围。</strong>除原有品种外，QFII、RQFII还可投资：（1）在全国中小企业股份转让系统（新三板）挂牌的股票；（2）债券回购；（3）私募投资基金；（4）金融期货；（5）商品期货；（6）期权等。此外，允许参与证券交易所融资融券交易。可参与的债券回购、金融期货、商品期货、期权的具体品种，由有关交易场所提出建议报监管部门同意后公布。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">四是优化托管人管理。</strong>明确QFII托管人资格审批事项改为备案管理后的衔接要求，不再限制QFII聘用托管人的数量。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">五是加强持续监管。</strong>完善账户管理，健全监测分析机制，增加提供相关跨境交易信息的要求，加大违规惩处力度。</p>
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	　　欢迎社会各界对《管理办法》和《实施规定》提出意见建议。证监会将认真研究、充分吸纳各方反馈意见，修改完善后发布实施。</p>
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	&nbsp;</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;">关于就《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法（征求意见稿）》及其配套规则公开征求意见的通知</strong></p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	&nbsp; &nbsp;&nbsp;</p>
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	　　为完善合格境外机构投资者（QFII）和人民币合格境外机构投资者（RQFII）制度，进一步扩大资本市场高水平对外开放，促进资本市场稳定健康发展，证监会拟对《合格境外机构投资者境内证券投资管理办法》及其配套规则、《人民币合格境外机构投资者境内证券投资试点办法》及其配套规则进行修订整合，起草了《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法（征求意见稿）》和《关于实施〈合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法〉有关问题的规定（征求意见稿）》，现向社会公开征求意见。请将有关意见和建议以书面或者电子邮件形式于2019年3月2日之前反馈证监会。</p>
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	　　联系方式:</p>
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	　　传真:010-88061446</p>
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	　　电子邮箱:jigoubu@csrc.gov.cn</p>
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	　　通讯地址:北京市西城区金融大街19号富凯大厦A座 中国证监会证券基金机构监管部</p>
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	　　邮编:100033</p>
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	&nbsp;</p>
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	中国证券监督管理委员会</p>
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	2019年1月31日</p>
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	&nbsp;</p>
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	　　《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法（征求意见稿）》、《关于实施〈合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法〉有关问题的规定（征求意见稿）》、关于《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资管理办法（征求意见稿）》及其配套规则的说明详见中国证监会官方网站。</p>
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证监会就《合格境外机构投资者及人民币合格境外机构投资者境内证券期货投资

2018年私募基金登记备案综述及12月私募基金登记备案月报


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	&nbsp; &nbsp; &nbsp; <img alt="" src="/uploads/190126/1-1Z126145H5158.jpg" style="width: 360px; height: 200px;"></p>
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	&nbsp; &nbsp; &nbsp; 近年来，证监会深入领会习近平总书记关于加强社会诚信建设的系列重要指示精神，扎实贯彻落实国务院关于转变政府职能、深化简政放权、创新监管方式、完善社会主义市场经济体制的决策部署，积极顺应政务信息化及全国信用信息共享平台加速建设的有利形势，加速构建跨部门、跨领域、跨地区的诚信约束与协同监管大格局。总体看，以社会信用体系建设为重要依托，以失信联合惩戒与守信联合激励为核心内容，以重点领域精准奖惩为重要手段的资本市场诚信监管协同机制已基本建成，在提升监管有效性和市场诚信水平方面发挥了越来越重要的作用。</p>
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	　　证监会充分运用诚信约束手段，让违法失信者处处受限，引导资本市场各类主体诚信经营、真实披露、合规交易。自2015年牵头签署《关于对违法失信上市公司相关责任主体实施联合惩戒的合作备忘录》以来，已向全国信用信息共享平台推送违法失信信息共计10530条，包含行政处罚信息 4091条、市场禁入信息469条、纪律处分信息5970条，供发改委、人民银行、财政部、海关总署、市场监管总局等近二十个部门，在行政许可、日常监管等工作中参考使用。在地方层面，2018年，多个省市发改委、国税、海关、人社、银行等部门，针对13家被我会采取行政处罚措施的上市公司，在政府采购、补贴性资金支持、银行授信、海关认证、评优评先等多个领域依法采取54项限制性措施，让违法者付出沉重代价，实现了违法失信高成本与社会治理高效率的有机统一。</p>
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	　　2018年，证监会新参与签署了针对政府采购、科研、公共资源交易、出入境检验检疫、知识产权、社会保险、文化、医疗、旅游等21个领域失信行为的部际联合惩戒备忘录及针对交通运输工程建设领域守信行为的联合激励备忘录，并与市场监管总局、民航局分别签署专项合作协议，对严重违法失信企业专门加强信息交流和联合惩戒。联合民航局、铁路总公司，限制逾期不履行公开承诺的上市公司相关责任主体、不缴纳证券期货行政罚没款的当事人乘坐民用航空器和火车高级别席位。</p>
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	　　截至2018年底，证监会累计参与签署诚信联合奖惩备忘录50份，资本市场诚信数据库已采集部际共享信息千万余条，涵盖司法、税务、海关、安监、市场监管等社会经济主要领域。2018年证监会行政许可审核中，对存在不良记录要求核实说明的123起，责令更换不良记录人选11起，作出不予许可决定的2起，许可申请人因此主动撤回申请的5起。对多家存在失信记录的企业作出差异化的现场检查安排，对多名存在违法失信记录的违法当事人加重处罚甚至顶格处罚。2018年6月以来，对逾期不缴纳证监会罚款、逾期不履行上市公司相关公开承诺的95名严重失信人员，在“信用中国”网站进行公示并实施“限乘限飞”，催缴罚没款1.42亿元。</p>
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	　　下一步，证监会将继续立足资本市场改革发展稳定大局，按照社会信用体系建设部际联席会议的统筹规划，结合资本市场实际情况，积极拓展跨部门信息共享与联合奖惩，不断丰富诚信监管工具箱，进一步提高市场诚信水平。</p>
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资本市场诚信监管协同机制进一步强化


						<p></p><p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-indent: 0em; widows: 1; line-height: 1.75em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(123, 12, 0);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">推动ESG投资系列工作</span></strong></span></p>
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	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">加大行业宣传，积极推广ESG投资理念；举办论坛与研讨会，组织行业机构交流研讨；加大行业研究，正式发布《中国上市公司ESG评价体系研究报告》。在ESG研究框架下，成立ESG专家小组，制定发布《绿色投资指引（试行）》。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-indent: 0em; widows: 1; line-height: 1.75em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(123, 12, 0);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">完善自律规则体系建设</span></strong></span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-indent: 0em; widows: 1; line-height: 1.75em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(123, 12, 0);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">提升私募基金登记备案自律管理工作规范化和透明度</span></strong></span></p>
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	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">积极配合国务院私募基金条例制定和证监会私募基金管理办法修订工作，推动私募基金顶层制度设计。发布《私募基金相关问题解答十五》，增设“私募资产配置基金管理人”机构类型，满足机构跨资产类别投资业务类型投资切实需求；发布并持续更新《私募基金管理人登记须知》，细化私募基金管理人登记要求，建立健全中止办理登记、不予登记等制度，探索差异化管理和扶优限劣措施；发布《私募基金备案须知》，建立不予备案制度，规范私募基金从事“委托贷款”等涉及民间借贷业务的相关活动。落实中央减负、双创部署，联合证监会推出反向挂钩政策申请、创投基金税收优惠政策申请办理流程。发布《私募投资基金命名指引》，规范私募基金命名方式，保护投资者利益。</span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-indent: 0em; widows: 1; line-height: 1.75em; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; color: rgb(123, 12, 0);"><strong style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important;"><span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">构建私募基金风险监测指标体系 切实推进行业风险排查与监测</span></strong></span></p>
<p style="margin: 5px 0px 10px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; text-align: justify; widows: 1; text-indent: 2em; line-height: 1.75em; box-sizing: border-box !important; word-wrap: break-word !important;">
	<span style="margin: 0px; padding: 0px; max-width: 100%; box-sizing: border-box !important; word-wrap: break-word !important; font-size: 16px;">2018年初步建立包含79项风险核查指标的私募基金风险监测指标体系；依托私募基金信息报送系统，形成“钱从哪儿来、到哪儿去、发挥什么作用”的全流程、穿透式监测框架和报表体系，夯实私募基金行业数据基础。发布《关于加强私募基金信息披露自律管理相关事项的通知》，督促机构按时履行信披义务。截至目前，已公示未按时履行信息披露义务的异常机构3202家；已稳妥处理123家仍未完成信息补录的“僵尸机构”；已组织两批共917家风险机构自查。</span></p>
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中国证券投资基金业协会2018年度18项重点工作之 “ESG 自律规范 风险监测”


						<p></p><p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; widows: 1; text-align: center; box-sizing: border-box !important; word-wrap: break-word !important;">
	<img alt="" src="/uploads/190112/1-1Z112142332446.jpg" style="width: 360px; height: 200px;"></p>
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	　　近期，针对部分证券投资咨询机构（以下简称咨询机构）发生的不当营销和违规经营问题，证监会加大执法检查力度，整肃行业纪律，集中查处了一批个案。2018年，对58家咨询机构或其分支机构采取行政监管措施，其中对35家采取责令暂停新增客户的行政监管措施。对依法应予以行政处罚的，已实施行政处罚或启动立案稽查程序。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　下一步，证监会将会同行业协会，继续保持高压监管态势，加大检查执法和自律管理的力度，对存在违法违规行为的咨询机构，综合运用行政监管措施、行政处罚以及纪律处分等手段，从严查处和追究有关机构和人员的责任；情节严重的，撤销业务许可；涉嫌犯罪的，依法移送司法机关追究刑事责任。</p>
<p style="margin: 0px; padding: 0px; max-width: 100%; clear: both; min-height: 1em; color: rgb(51, 51, 51); font-family: -apple-system-font, BlinkMacSystemFont, &quot;Helvetica Neue&quot;, &quot;PingFang SC&quot;, &quot;Hiragino Sans GB&quot;, &quot;Microsoft YaHei UI&quot;, &quot;Microsoft YaHei&quot;, Arial, sans-serif; font-size: 17px; letter-spacing: 0.544px; line-height: 27.2px; text-align: justify; widows: 1; box-sizing: border-box !important; word-wrap: break-word !important;">
	　　咨询机构应当遵守法律法规的规定，遵循客观、公正和诚实信用的原则，恪尽职守，勤勉尽责，切实保护投资者合法权益；不得对服务能力和过往业绩进行虚假、不实、夸大、误导性的营销宣传；不得承诺投资收益；不得与投资者约定分享投资收益或者分担投资损失；咨询机构从事证券投资咨询业务的人员应当具备从业资格。</p>
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	　　证监会提醒广大投资者注意，在接受证券投资咨询服务前，应当核实服务机构及人员是否持有合法资格及是否存在被限制业务情况。具体信息可在证监会网站“监管信息公开目录”和中国证券业协会网站查询，其中已被证监会采取暂停新增客户行政监管措施的机构或被协会采取暂停执业纪律处分的人员已经明确列示。投资者在接受证券投资咨询服务时，发现咨询机构存在违法违规行为的，可以拨打相关热线电话进行投诉举报。</p>
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