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中證監:整治非法跨境證券期貨基金經營活動 投資者財產安全不受整治影響
中證監、工信部、人行及市監總局等八部門聯合印發《綜合整治非法跨境證券期貨基金經營活動實施方案》,中證監有關部門負責人表示,《整治方案》提出全面開展監測排查,強化互聯網平台和信息清理,加強境外機構等約談督促,開展重點案件調查處罰,堅決處置非法跨境經營活動及其主體,加強相關跨境證券期貨基金投資管理,強化跨境監管協作,保護投資者合法權益,做好政策宣傳引導,完善監管...
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中證監:整治非法跨境證券期貨基金經營活動 投資者財產安全不受整治影響
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中證監、工信部、人行及市監總局等八部門聯合印發《綜合整治非法跨境證券期貨基金經營活動實施方案》,中證監有關部門負責人表示,《整治方案》提出全面開展監測排查,強化互聯網平台和信息清理,加強境外機構等約談督促,開展重點案件調查處罰,堅決處置非法跨境經營活動及其主體,加強相關跨境證券期貨基金投資管理,強化跨境監管協作,保護投資者合法權益,做好政策宣傳引導,完善監管制度,引導合規投資。

其中,中證監牽頭開展非法跨境證券期貨基金經營活動綜合整治工作。金融監管總局負責金融消費者保護、境內銀行機構監管相關工作。人行負責運用反洗錢系統配合開展有關工作。國家外匯局負責外匯管理相關工作。市場監管總局負責依法加強境內相關經營主體登記監管,會同有關部門依法加強對相關廣告活動的監管。國家網信辦負責加強網絡涉非信息治理處置。工信部負責依法處置經金融管理部門認定的違法違規互聯網應用。公安部負責查處非法經營等經濟犯罪活動。地方人民政府落實防範打擊非法跨境證券期貨基金經營活動的屬地責任。

在保障投資者合法權益方面,中證監有關部門負責人指投資者通過非法渠道開展境外投資,由此產生的糾紛或損失,將難以得到境內法律的充分保障和救濟。本次整治工作的主要出發點是通過嚴打非法經營活動保護投資者合法權益,投資者的財產安全不受整治影響。《整治方案》明確保障存量投資者合法權益,包括設置兩年集中整治期分階段停止境外機構相關境內服務;要求境外機構做好與在境內受整治措施影響的投資者的溝通聯系及其賬戶處置安排,保障客戶財產安全;開展跨境證券期貨基金活動的宣傳教育,指導金融機構做好投資者風險警示;協調推動境外金融監管部門督促境外機構採取措施保障境內投資者財產安全,妥善處理投資者投訴;引導境內投資者通過港股通、合格境內機構投資者(QDII)及跨境理財通等合法渠道開展境外投資。(jl/da)

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