cciia.org.cn 2020-1-21 9:36:55 國(guo)資(zi)委網站(zhan)
近日,國務(wu)院(yuan)國資(zi)委(wei)印發了《關于切實加強(qiang)金融衍(yan)生業(ye)務(wu)管(guan)理有關事項(xiang)的通知》(國資(zi)發財(cai)評(ping)規〔2020〕8號(hao),以下簡稱《通知》),對原有金融衍(yan)生業(ye)務(wu)監管(guan)制度進行了整合、修訂。《通知》出臺后,國務(wu)院(yuan)國資(zi)委(wei)有關負責人接(jie)受了記者采訪。
1.問:請(qing)介紹一下《通(tong)知》出臺(tai)的背(bei)景。
答(da):金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)是大(da)型(xing)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)管(guan)(guan)理(li)價(jia)格(ge)風(feng)(feng)險(xian)的(de)常(chang)用手段,可有(you)效(xiao)對沖現(xian)貨價(jia)格(ge)波(bo)動風(feng)(feng)險(xian),促(cu)進企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)平(ping)穩運(yun)行(xing)。但金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)本(ben)身也是一把“雙刃(ren)劍”,具有(you)高杠桿性(xing)、高風(feng)(feng)險(xian)性(xing)和復雜性(xing),如管(guan)(guan)控(kong)(kong)不(bu)(bu)當,易發(fa)生(sheng)(sheng)損失風(feng)(feng)險(xian)。為指(zhi)導企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)加強金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)風(feng)(feng)險(xian)管(guan)(guan)控(kong)(kong),國(guo)(guo)資(zi)(zi)委先后印(yin)發(fa)了(le)《關(guan)于進一步加強中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)監管(guan)(guan)的(de)通(tong)知》(國(guo)(guo)資(zi)(zi)發(fa)評(ping)價(jia)〔2009〕19號(hao))、《關(guan)于建立(li)中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)臨時(shi)監管(guan)(guan)機制的(de)通(tong)知》(國(guo)(guo)資(zi)(zi)發(fa)評(ping)價(jia)〔2010〕187號(hao))、《關(guan)于取消中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)境外商(shang)品衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)核準事項(xiang)的(de)通(tong)知》(國(guo)(guo)資(zi)(zi)發(fa)評(ping)價(jia)〔2015〕42號(hao)),構(gou)建了(le)中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)監管(guan)(guan)制度框架體系。多年來,中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)按照(zhao)監管(guan)(guan)要(yao)求(qiu),審(shen)慎開展(zhan)(zhan)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu),有(you)效(xiao)管(guan)(guan)控(kong)(kong)風(feng)(feng)險(xian),業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)總體運(yun)行(xing)平(ping)穩。但監管(guan)(guan)中(zhong)發(fa)現(xian),有(you)部分企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)存(cun)在集(ji)團管(guan)(guan)控(kong)(kong)不(bu)(bu)到位、業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)審(shen)批不(bu)(bu)嚴格(ge)、操作(zuo)程(cheng)序不(bu)(bu)規范、激勵趨向投機以(yi)及(ji)(ji)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)報告(gao)不(bu)(bu)及(ji)(ji)時(shi)、不(bu)(bu)準確(que)等問題。同時(shi),隨著(zhu)近年來中(zhong)央(yang)(yang)(yang)企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)加快“走出(chu)去”步伐,積極(ji)拓展(zhan)(zhan)國(guo)(guo)際業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu),運(yun)用金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)工具對沖大(da)宗商(shang)品價(jia)格(ge)、利率、匯率波(bo)動風(feng)(feng)險(xian)的(de)需求(qiu)增(zeng)多,開展(zhan)(zhan)金(jin)(jin)(jin)融(rong)衍(yan)(yan)(yan)生(sheng)(sheng)業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)出(chu)現(xian)一些(xie)新情況、新變化,現(xian)行(xing)監管(guan)(guan)制度已不(bu)(bu)能充分滿足企(qi)業(ye)(ye)(ye)(ye)(ye)(ye)實際業(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)需要(yao)。
貫(guan)徹落實十九(jiu)屆四中(zhong)全(quan)會關(guan)于(yu)“增強(qiang)國有經濟(ji)抗風險能力(li)”的(de)(de)精神,為(wei)進一步指導中(zhong)央企(qi)業規范開展金融衍生業務,在(zai)發揮(hui)其功(gong)能作用的(de)(de)同時(shi),切實有效管控風險,國資(zi)委在(zai)廣泛征求中(zhong)央企(qi)業和有關(guan)監(jian)管部門意見的(de)(de)基礎上,對監(jian)管制度進行了(le)整合、修訂,研究制定了(le)《通(tong)知(zhi)》,經由國資(zi)委黨委會議(yi)審議(yi)通(tong)過(guo)后印(yin)發中(zhong)央企(qi)業執行。
2.問:制定《通知》的主要原則是什(shen)么?
答:總體(ti)原則(ze)是,堅持從嚴(yan)(yan)管控(kong)(kong),堅持套期(qi)保值,堅持風(feng)險可控(kong)(kong),嚴(yan)(yan)把“入口關”、“規模關”、“操(cao)作關”,進一(yi)(yi)步(bu)明確各(ge)級主體(ti)責任,進一(yi)(yi)步(bu)明晰業(ye)務原則(ze),進一(yi)(yi)步(bu)規范操(cao)作流程,進一(yi)(yi)步(bu)加強監督檢查,指(zhi)導企(qi)業(ye)建立“嚴(yan)(yan)格管控(kong)(kong)、規范操(cao)作、風(feng)險可控(kong)(kong)”的(de)金融衍(yan)生(sheng)業(ye)務監管體(ti)系,切(qie)實發揮好金融衍(yan)生(sheng)業(ye)務促進企(qi)業(ye)平穩運行的(de)作用。
在《通知》起草過程中,注(zhu)重(zhong)與原制度相(xiang)銜接,實現平穩過渡(du);注(zhu)重(zhong)以問(wen)題(ti)和(he)(he)風險為導(dao)向,解決企業實踐(jian)中存在的突(tu)出(chu)問(wen)題(ti),補足制度短板;注(zhu)重(zhong)立足企業實際,充(chong)分吸收企業好的做法(fa)和(he)(he)管理經(jing)驗,提煉為制度規定,力求指導(dao)性、可(ke)操作性強。
3.問:《通知(zhi)》主要在(zai)哪些(xie)方(fang)面進行了修訂?
答:《通知》包括(kuo)六個部分內容,覆蓋事(shi)前、事(shi)中和事(shi)后的關鍵(jian)環節。較(jiao)原有制度的變化主(zhu)要體現在以下幾個方面(mian)。
一是落實各主體管(guan)(guan)控責(ze)任。進(jin)一步(bu)明確(que)集團(tuan)(tuan)董(dong)事會、集團(tuan)(tuan)管(guan)(guan)理層及集團(tuan)(tuan)職(zhi)能部門、操作主體的職(zhi)責(ze),建立健(jian)全(quan)三級管(guan)(guan)理體系,嚴格業務管(guan)(guan)控。
二是強化套期(qi)保值原(yuan)則。在堅持交易品種與主業(ye)相關(guan)、交易時間、規模(mo)、方(fang)向與實(shi)貨(huo)(huo)匹(pi)配等要求(qiu)的基礎上,進一步強調套期(qi)保值的實(shi)質和原(yuan)則,即以降低(di)實(shi)貨(huo)(huo)風險敞口(kou)為目(mu)的,禁止投(tou)機(ji)(ji)交易;通(tong)(tong)過增加總量和時點(dian)規模(mo)雙管控,嚴防(fang)超規模(mo)交易;通(tong)(tong)過要求(qiu)建立科(ke)學(xue)的激(ji)勵約束和業(ye)務效(xiao)果(guo)綜(zong)合評判機(ji)(ji)制,防(fang)止片面追求(qiu)金融(rong)衍生業(ye)務單邊(bian)盈利導致投(tou)機(ji)(ji)行為。
三是實(shi)施分類(lei)管控。針對(dui)貨幣類(lei)、商(shang)品類(lei)衍生(sheng)業(ye)務的不(bu)同特點(dian)和風險程度,在業(ye)務規模、崗位設(she)置、信息系統(tong)等方面區(qu)別(bie)對(dui)待,即體(ti)現從嚴監管,又貼合企(qi)業(ye)實(shi)際(ji)。
四是細化風險管控要求(qiu)。在監(jian)控手段上,增加有關建立信息系(xi)統的(de)要求(qiu),實現在線監(jian)測,固(gu)化制(zhi)度(du)規定;在風險預警上,提出采用(yong)定量及定性方法及時(shi)識別各類風險的(de)要求(qiu);在應(ying)(ying)急處(chu)理上,明確處(chu)理要求(qiu),妥善做好應(ying)(ying)對(dui)。
五(wu)是嚴(yan)控(kong)操作關鍵(jian)節點。堅持前中后臺分離原則(ze),嚴(yan)格合規(gui)管(guan)理(li);強調授權審批要求(qiu),嚴(yan)防越權違規(gui)操作;增加保證(zheng)金(jin)管(guan)控(kong)要求(qiu),規(gui)范(fan)資(zi)金(jin)使(shi)用,防范(fan)資(zi)金(jin)風(feng)險(xian);建立風(feng)險(xian)管(guan)理(li)日報告、部門月核對、管(guan)理(li)層季(ji)溝通(tong)機制,加強業務動態管(guan)理(li)。
六是強化監督檢查。對審(shen)計(ji)監督的原則(ze)性要求進行細化,明確(que)(que)集團歸口管理部門和內審(shen)部門的監督檢查責(ze)任和側重(zhong)點,嚴防違規(gui)事項,確(que)(que)保(bao)制度(du)落實。
4.問:國資委將采取(qu)哪些監管措施?
答:國資委的監(jian)管仍然聚焦在事(shi)中(zhong)(zhong)跟蹤監(jian)測(ce)與事(shi)后監(jian)督(du)檢查,督(du)促(cu)企業(ye)加(jia)強風(feng)險(xian)管控。一是在日常工作中(zhong)(zhong),建立(li)定期報(bao)告(gao)(gao)制度,要求企業(ye)按季(ji)、按年報(bao)告(gao)(gao)業(ye)務開展(zhan)情況,對(dui)于重(zhong)大事(shi)項,要求24小時內專項報(bao)告(gao)(gao)。二是嚴肅問責追責,對(dui)于發生(sheng)重(zhong)大損失風(feng)險(xian)、造(zao)成嚴重(zhong)影響等問題的,將在業(ye)績考核中(zhong)(zhong)予以(yi)扣分或降級(ji)處理,并根據干部管理權(quan)限開展(zhan)責任追究。三是會(hui)同有(you)關部門,通過定期會(hui)商(shang)、信息共享、聯合檢查等方(fang)式,形(xing)成監(jian)管合力,提升監(jian)管專業(ye)性。
5.問:國資委對抓好《通知》的落實有什么具體工(gong)作安(an)排?
答:《通(tong)知》下發(fa)后(hou),國資委將對中(zhong)央企(qi)業和地方(fang)國資監管部門進(jin)行培(pei)訓,就修(xiu)訂的(de)重點內容進(jin)行講(jiang)解和說明,幫(bang)助(zhu)準確(que)理解和把(ba)握《通(tong)知》的(de)內容和要求。做好日(ri)常(chang)對口指導(dao),答疑解惑,及時(shi)幫(bang)助(zhu)解決工作中(zhong)遇(yu)到(dao)的(de)困難(nan)和問(wen)題。加(jia)強對《通(tong)知》執行情況(kuang)的(de)跟蹤評(ping)測,督促企(qi)業切實將《通(tong)知》要求落實到(dao)位。
日期:2020-1-21 9:36:55 | 關閉 |
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