北京大学金融法研究中心

全球金融监管动态简报

2019年第18期    本期范围：中国（含香港）、英国和国际组织   2019.5.27—2019.6.16

1.中国人民银行

（1）包商银行接管组负责人就有关问题答《金融时报》记者问

2.中国证监会

（2）中国证监会正式发布《期货公司监督管理办法》

3.国际证监会组织

（1）Emerging Market Regulators Issue Recommendations Related to Sustainable Finance

（2）IOSCO Examines Regulatory-driven Market Fragmentation and Considers how to Enhance Cross-border Cooperation

4.金融稳定委员会

（1）FSB publishes report on market fragmentation

（2）FSB Publishes Peer Review of Implementation of the Legal Entity Identifier

 

1、中国人民银行网站动态http://www.pbc.gov.cn

（1）包商银行接管组负责人就有关问题答《金融时报》记者问（2019.6.16）

摘要：近日，中国人民银行包商银行接管组负责人就工作的最新进展，大额债权部分先期保障政策，对极少数大额对公和同业客户没有提供100％先期全额保障、打破了刚性兑付、接管包商银行的时机和效果等问题回答了《金融时报》记者的提问。负责人表示，目前接管组严格按照招投标程序，已完成会计师事务所、律师事务所、评估师事务所等第三方中介机构的选聘工作，并尽快启动清产核资工作；总体看，现已依法运用存款保险基金采取收购承接方式处置包商银行风险，较好实现了保护存款人利益和维护稳定的政策目标。

详情请见：

http://www.pbc.gov.cn/goutongjiaoliu/113456/113469/3844732/index.html

 

2、中国证监会网站动态http://www.csrc.gov.cn

（1）中国证监会正式发布《期货公司监督管理办法》（2019.6.14）

摘要：为适应期货市场发展的新要求，加强期货公司监管，证监会对《期货公司监督管理办法》（以下简称《办法》）进行了修订，并于近日正式发布。《办法》修订内容主要涉及五个方面：一是提高期货公司主要股东，尤其是控股股东、第一大股东资格条件。明确持续经营时间、持续盈利能力相关要求；增加出资资金、主营业务相关性及经营能力等方面规定。二是加强期货公司股东管理，强化股东义务。增加股东、实际控制人和其他关联人与期货公司进行关联交易的监管要求；完善股东、实际控制人重大事项报告规则。三是完善期货公司境内分支机构、子公司及境外经营机构的管理。要求期货公司建立健全对境内分支机构、子公司及境外经营机构的合规风控体系，实现风险管理全覆盖。四是完善期货公司对客户开户及其交易行为管理要求。五是完善期货公司信息系统管理规定，明确信息系统合规运行的制度要求。

详情请见：

http://www.pbc.gov.cn/goutongjiaoliu/113456/113469/3844732/index.html

 

3、国际证监会组织网站动态http://www.iosco.org

（1）Emerging Market Regulators Issue Recommendations Related to Sustainable Finance（2019.6.5）

摘要：Securities regulators from growth and emerging markets today published a report that sets forth recommendations related to the development of sustainable finance in emerging markets and the role of securities regulators in this area. The report explores the trends and challenges that influence the development of sustainable finance in emerging capital markets. It also provides an overview of the initiatives that regulators, stock exchanges, policy makers and others key stakeholders in emerging markets have undertaken in this area. The report identifies the pre-requisites for creating an ecosystem that facilitates sustainable finance, such as an appropriate regulatory framework and fit-for-purpose market infrastructure, reporting and disclosure requirements, governance and investor protection guidelines and mechanisms to address needs and requirements of institutional investors.

详情请见：

https://www.iosco.org/news/pdf/IOSCONEWS534.pdf

 

（2）IOSCO Examines Regulatory-driven Market Fragmentation and Considers how to Enhance Cross-border Cooperation（2019.6.4）

摘要：The Board of the International Organization of Securities Commissions published a report that examines instances of regulatory-driven fragmentation in wholesale securities and derivatives markets and considers what actions regulators can take to minimize its adverse effects. The report, titled Market Fragmentation and Cross-border Regulation, focuses on market fragmentation that arises as an unintended consequence of financial regulation. It provides examples of market fragmentation that IOSCO members consider to be significant and potentially harmful to the oversight and supervision of financial markets.

详情请见：

https://www.iosco.org/news/pdf/IOSCONEWS533.pdf

 

4、金融稳定委员会网站动态http://www.fsb.org

（1）FSB publishes report on market fragmentation（2019.6.4）

摘要：The Financial Stability Board (FSB) published a report on market fragmentation and identified several areas for further work to address it. The report was delivered to G20 Finance Ministers and Central Bank Governors ahead of their meetings in Fukuoka on 8-9 June. The report lays out approaches and mechanisms that may enhance the effectiveness and efficiency of international cooperation, and help to mitigate any negative effects of market fragmentation on financial stability.

详情请见：

https://www.fsb.org/2019/06/fsb-publishes-report-on-market-fragmentation/

（2）FSB Publishes Peer Review of Implementation of the Legal Entity Identifier（2019.5.28）

摘要：The Financial Stability Board (FSB) published a Thematic Review on Implementation of the Legal Entity Identifier (LEI). The LEI is a 20-character, alpha-numeric code that was introduced following the financial crisis to be adopted globally, to uniquely identify legally distinct entities that engage in financial transactions. The report sets out four sets of recommendations to address the issues identified in the peer review and promote broader LEI adoption. The recommendations are addressed to FSB member jurisdictions, the FSB, relevant standard-setting bodies and international organizations, the LEI Regulatory Oversight Committee and the Global LEI Foundation.

详情请见：

https://www.fsb.org/2019/05/fsb-publishes-peer-review-of-implementation-of-the-legal-entity-identifier/