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cciia.org.cn　 2020-2-12 14:41:39　 銀(yin)保(bao)監會(hui)網(wang)站(zhan)

為(wei)進一(yi)步加強(qiang)信托公司(si)(si)(si)股(gu)(gu)權(quan)管理(li)，規范信托公司(si)(si)(si)股(gu)(gu)東行(xing)為(wei)，促進信托公司(si)(si)(si)完善公司(si)(si)(si)治(zhi)理(li)機制建設，銀(yin)保(bao)監(jian)會制定(ding)了《信托公司(si)(si)(si)股(gu)(gu)權(quan)管理(li)暫行(xing)辦法(fa)》（以下簡稱《暫行(xing)辦法(fa)》）。銀(yin)保(bao)監(jian)會有(you)關部門負(fu)責人就《暫行(xing)辦法(fa)》回(hui)答了記者(zhe)提問。

一、制定(ding)《暫行辦(ban)法》的(de)背景是什么(me)？

近(jin)年來，信(xin)托(tuo)(tuo)業(ye)(ye)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)亂象導(dao)致(zhi)部分信(xin)托(tuo)(tuo)公司(si)風(feng)(feng)險(xian)事件頻發(fa)，也在一(yi)定程度(du)上阻(zu)礙了信(xin)托(tuo)(tuo)業(ye)(ye)轉(zhuan)型發(fa)展。現(xian)行信(xin)托(tuo)(tuo)業(ye)(ye)監(jian)(jian)管(guan)(guan)(guan)規(gui)制體(ti)(ti)系中雖(sui)對信(xin)托(tuo)(tuo)公司(si)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)有所規(gui)范，但隨(sui)著行業(ye)(ye)發(fa)展變化，個別規(gui)定可操作(zuo)性(xing)不(bu)強(qiang)(qiang)、存在監(jian)(jian)管(guan)(guan)(guan)漏(lou)洞等(deng)問題(ti)日漸顯現(xian)，給有效(xiao)監(jian)(jian)管(guan)(guan)(guan)帶來不(bu)小(xiao)挑(tiao)戰。2018年，原(yuan)銀(yin)(yin)(yin)監(jian)(jian)會發(fa)布《商業(ye)(ye)銀(yin)(yin)(yin)行股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)暫行辦法(fa)》（銀(yin)(yin)(yin)監(jian)(jian)會令2018年第1號）后，信(xin)托(tuo)(tuo)公司(si)作(zuo)為參照適用機(ji)構，逐步加強(qiang)(qiang)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)穿透監(jian)(jian)管(guan)(guan)(guan)，強(qiang)(qiang)化主要(yao)股(gu)(gu)(gu)東管(guan)(guan)(guan)理(li)。整體(ti)(ti)而(er)言，信(xin)托(tuo)(tuo)業(ye)(ye)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)監(jian)(jian)管(guan)(guan)(guan)工作(zuo)較以往(wang)有了較大(da)完善。然而(er)，考慮到信(xin)托(tuo)(tuo)業(ye)(ye)曾(ceng)歷經多次清(qing)理(li)整頓，其股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)特征、風(feng)(feng)險(xian)特征、監(jian)(jian)督管(guan)(guan)(guan)理(li)體(ti)(ti)系與商業(ye)(ye)銀(yin)(yin)(yin)行差(cha)異較大(da)等(deng)因素，一(yi)些股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)突出問題(ti)仍無法(fa)通過(guo)現(xian)行制度(du)安排予以解決。因此，為彌補制度(du)短板，借鑒國內監(jian)(jian)管(guan)(guan)(guan)實踐并結合信(xin)托(tuo)(tuo)業(ye)(ye)發(fa)展實際，銀(yin)(yin)(yin)保監(jian)(jian)會研(yan)究(jiu)起草了《暫行辦法(fa)》，以促進信(xin)托(tuo)(tuo)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)管(guan)(guan)(guan)理(li)亂象的(de)有效(xiao)治(zhi)理(li)，提升(sheng)信(xin)托(tuo)(tuo)業(ye)(ye)股(gu)(gu)(gu)權(quan)(quan)(quan)(quan)監(jian)(jian)管(guan)(guan)(guan)質效(xiao)。

二、《暫行辦法》的主要內(nei)容是(shi)什么？

《暫行(xing)辦(ban)法》共六(liu)章78條，除總則和附(fu)則外，主要包(bao)(bao)括四方面內(nei)容(rong)。一是明確(que)信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)東責(ze)任。包(bao)(bao)括信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)東資質條件，以及股(gu)(gu)東在股(gu)(gu)權(quan)取得、股(gu)(gu)權(quan)持有、股(gu)(gu)權(quan)退(tui)出各個階段(duan)應承擔的(de)(de)(de)責(ze)任和義務等(deng)(deng)。二是明確(que)信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)職(zhi)責(ze)，包(bao)(bao)括信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)在股(gu)(gu)權(quan)變更期(qi)間應履行(xing)的(de)(de)(de)職(zhi)責(ze)、應承擔的(de)(de)(de)股(gu)(gu)權(quan)事務管(guan)理(li)(li)責(ze)任、應履行(xing)的(de)(de)(de)股(gu)(gu)東行(xing)為管(guan)理(li)(li)職(zhi)責(ze)等(deng)(deng)。三(san)是加強對信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)權(quan)的(de)(de)(de)監督管(guan)理(li)(li)。包(bao)(bao)括明確(que)監管(guan)部門股(gu)(gu)權(quan)穿透監管(guan)措施和手段(duan)，對信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)東或信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)權(quan)管(guan)理(li)(li)違法違規行(xing)為可(ke)采取的(de)(de)(de)監管(guan)措施等(deng)(deng)。四是明晰法律責(ze)任。以《銀監法》、《行(xing)政許可(ke)法》為依據，規定信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)東或信(xin)(xin)托(tuo)(tuo)公(gong)(gong)(gong)司(si)(si)罰(fa)則等(deng)(deng)內(nei)容(rong)。

三(san)、《暫行(xing)辦(ban)法》與(yu)《商業銀(yin)行(xing)股權(quan)管理(li)暫行(xing)辦(ban)法》的(de)關系(xi)？

《暫(zan)行(xing)辦法(fa)》充分借鑒(jian)了《商業銀行(xing)股(gu)權(quan)(quan)(quan)管(guan)(guan)(guan)理(li)(li)暫(zan)行(xing)辦法(fa)》的良好(hao)制度實踐，沿用了其中提(ti)出的三位(wei)一體股(gu)權(quan)(quan)(quan)穿(chuan)透監(jian)(jian)管(guan)(guan)(guan)框架、加(jia)強(qiang)主要(yao)股(gu)東股(gu)權(quan)(quan)(quan)管(guan)(guan)(guan)理(li)(li)、強(qiang)化董事(shi)會股(gu)權(quan)(quan)(quan)事(shi)務(wu)管(guan)(guan)(guan)理(li)(li)責(ze)任等(deng)重要(yao)制度安(an)排(pai)，并均以《銀監(jian)(jian)法(fa)》等(deng)上位(wei)法(fa)為依(yi)據規范監(jian)(jian)管(guan)(guan)(guan)措施(shi)、罰則等(deng)內容。《暫(zan)行(xing)辦法(fa)》將“三位(wei)一體”股(gu)權(quan)(quan)(quan)穿(chuan)透監(jian)(jian)管(guan)(guan)(guan)框架擴展為“三位(wei)一體”股(gu)權(quan)(quan)(quan)管(guan)(guan)(guan)理(li)(li)體系，突(tu)出信(xin)托公(gong)(gong)司股(gu)東、信(xin)托公(gong)(gong)司、監(jian)(jian)管(guan)(guan)(guan)部門三方主體從股(gu)權(quan)(quan)(quan)進入到退出各個階段的股(gu)權(quan)(quan)(quan)管(guan)(guan)(guan)理(li)(li)職責(ze)，更加(jia)貼合(he)信(xin)托公(gong)(gong)司股(gu)權(quan)(quan)(quan)監(jian)(jian)管(guan)(guan)(guan)實際，突(tu)出信(xin)托公(gong)(gong)司公(gong)(gong)司治理(li)(li)機制要(yao)求，力(li)求解決信(xin)托業股(gu)權(quan)(quan)(quan)管(guan)(guan)(guan)理(li)(li)突(tu)出問題(ti)。

四、《暫行辦法》對信托公司股東(dong)資質條(tiao)件的(de)要求有(you)哪些變化？

《暫行辦法》根據2018年4月(yue)人民(min)銀行、銀保監(jian)會(hui)、證(zheng)監(jian)會(hui)聯合發(fa)布的(de)(de)《關于(yu)加強非(fei)(fei)金(jin)(jin)融企(qi)業(ye)投資金(jin)(jin)融機構監(jian)管的(de)(de)指導意見》（銀發(fa)﹝2018﹞107號）要求，對擬成(cheng)為(wei)信托公(gong)司控股股東的(de)(de)非(fei)(fei)金(jin)(jin)融企(qi)業(ye)股東資質條件進行了嚴格規范，同時，取(qu)消了境外金(jin)(jin)融機構入(ru)股信托公(gong)司“總資產不少于(yu)10億美元”的(de)(de)要求，體現“內外一(yi)致”的(de)(de)國民(min)待遇(yu)原則。

《暫行辦(ban)(ban)法(fa)》發布后(hou)，對于信托(tuo)公司(si)存在的股(gu)權(quan)管(guan)理不符(fu)合(he)《暫行辦(ban)(ban)法(fa)》要求(qiu)的情形，銀保監會(hui)將及時出(chu)臺(tai)相關(guan)配套辦(ban)(ban)法(fa)，明確信托(tuo)公司(si)整改的過渡期(qi)安排(pai)等要求(qiu)，推動信托(tuo)公司(si)股(gu)權(quan)管(guan)理逐步(bu)符(fu)合(he)《暫行辦(ban)(ban)法(fa)》。

五、《暫行辦(ban)法》對金融產(chan)品(pin)持(chi)股有什么特別安排？

《暫行(xing)(xing)(xing)辦(ban)(ban)法(fa)》沿用了(le)《商(shang)業銀(yin)行(xing)(xing)(xing)股(gu)(gu)權(quan)管理(li)(li)暫行(xing)(xing)(xing)辦(ban)(ban)法(fa)》相(xiang)關(guan)規(gui)定，明確金(jin)融(rong)產(chan)品(pin)可以(yi)持(chi)有(you)上市信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)份，但單一投(tou)資人、發行(xing)(xing)(xing)人或管理(li)(li)人及其(qi)實(shi)際控(kong)(kong)制(zhi)(zhi)人、關(guan)聯方(fang)、一致行(xing)(xing)(xing)動人控(kong)(kong)制(zhi)(zhi)的金(jin)融(rong)產(chan)品(pin)持(chi)有(you)同一信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)份合(he)計不(bu)得(de)(de)超過(guo)該信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)份總(zong)額(e)的百分之五。信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)主要股(gu)(gu)東不(bu)得(de)(de)以(yi)發行(xing)(xing)(xing)、管理(li)(li)或通(tong)過(guo)其(qi)他手段控(kong)(kong)制(zhi)(zhi)的金(jin)融(rong)產(chan)品(pin)持(chi)有(you)同一信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)股(gu)(gu)份。同時，考慮到金(jin)融(rong)產(chan)品(pin)本身不(bu)具有(you)民事主體應具有(you)的權(quan)利(li)能力，無法(fa)有(you)效履行(xing)(xing)(xing)股(gu)(gu)東權(quan)利(li)義務(wu)和責任，且行(xing)(xing)(xing)業內由(you)金(jin)融(rong)產(chan)品(pin)實(shi)際控(kong)(kong)制(zhi)(zhi)的信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)在公(gong)(gong)(gong)司(si)(si)治(zhi)理(li)(li)方(fang)面暴露了(le)問題與不(bu)足，《暫行(xing)(xing)(xing)辦(ban)(ban)法(fa)》要求投(tou)資人的控(kong)(kong)股(gu)(gu)股(gu)(gu)東、實(shi)際控(kong)(kong)制(zhi)(zhi)人為(wei)金(jin)融(rong)產(chan)品(pin)的，該投(tou)資人不(bu)得(de)(de)為(wei)信(xin)(xin)托(tuo)公(gong)(gong)(gong)司(si)(si)的主要股(gu)(gu)東。

六、《暫行辦法(fa)》如何加強股(gu)權信(xin)息管理？

股權信息不對稱嚴(yan)重影響信托公司監管質效。為此，《暫行辦法》以制(zhi)度安排(pai)明確股權信息變(bian)化(hua)的報(bao)告(gao)主體、路徑與時限要求。主要包括(kuo)以下情形(xing)：

1.可(ke)能影響股(gu)東資質條件變化或導(dao)致股(gu)東所持信托公司股(gu)權(quan)發生變化的(de)事項。

2.主(zhu)要(yao)股東及其控股股東、實際控制(zhi)人出現(xian)負面清(qing)單情形。

3.主(zhu)要股(gu)(gu)東(dong)(dong)的控股(gu)(gu)股(gu)(gu)東(dong)(dong)、實際控制人發(fa)生變(bian)化(hua)。報(bao)(bao)告主(zhu)體、路徑、時(shi)限要求分為三類：一(yi)是信托公(gong)(gong)(gong)司(si)股(gu)(gu)東(dong)(dong)或主(zhu)要股(gu)(gu)東(dong)(dong)于發(fa)生有(you)關情(qing)形(xing)后于十(shi)五日(ri)內(nei)書(shu)面通知(zhi)信托公(gong)(gong)(gong)司(si)并根據要求提供(gong)有(you)關材料。二是信托公(gong)(gong)(gong)司(si)就有(you)關事項以半年報(bao)(bao)、年報(bao)(bao)形(xing)式進行(xing)公(gong)(gong)(gong)開(kai)披露。三是信托公(gong)(gong)(gong)司(si)就股(gu)(gu)權信息(xi)變(bian)化(hua)情(qing)況自(zi)知(zhi)悉之日(ri)起十(shi)日(ri)內(nei)向監管部門(men)書(shu)面報(bao)(bao)告。

七、《暫行(xing)辦法》如(ru)何加強關聯交(jiao)易管理？

加強(qiang)(qiang)關聯(lian)(lian)交(jiao)易(yi)(yi)管控一(yi)直是信(xin)(xin)托公(gong)司(si)(si)股權監(jian)管重(zhong)點(dian)。《暫行辦法》強(qiang)(qiang)化監(jian)管部門對信(xin)(xin)托公(gong)司(si)(si)關聯(lian)(lian)交(jiao)易(yi)(yi)的總體要(yao)求(qiu)；明(ming)(ming)確信(xin)(xin)托公(gong)司(si)(si)關聯(lian)(lian)交(jiao)易(yi)(yi)分類及信(xin)(xin)托公(gong)司(si)(si)按照穿(chuan)透原(yuan)則和實質重(zhong)于形式原(yuan)則加強(qiang)(qiang)關聯(lian)(lian)交(jiao)易(yi)(yi)認定和關聯(lian)(lian)交(jiao)易(yi)(yi)資金(jin)來源與(yu)運(yun)用的雙向核查的要(yao)求(qiu)；明(ming)(ming)確信(xin)(xin)托公(gong)司(si)(si)建(jian)立關聯(lian)(lian)方名單(dan)管理制度，完善關聯(lian)(lian)交(jiao)易(yi)(yi)內控機制安(an)排等(deng)。

八、正(zheng)式印發的《暫(zan)行辦法(fa)》與(yu)征求(qiu)意(yi)見(jian)稿相比有(you)哪(na)些修改？

2019年11月(yue)22日至12月(yue)22日，銀(yin)保監會就(jiu)《暫(zan)行(xing)辦(ban)法(fa)》面向社會公開征(zheng)求(qiu)意見(jian)，期間共(gong)收集到各類意見(jian)48條。經過認(ren)真研究分析(xi)后，正(zheng)式印(yin)發的《暫(zan)行(xing)辦(ban)法(fa)》主要在(zai)以下方面作(zuo)了修改：一(yi)(yi)是對于(yu)投(tou)資(zi)人(ren)通(tong)過境(jing)內(nei)外證券市場(chang)擬持有信(xin)托公司(si)股(gu)份總額百分之五以上的情形，明確(que)對該類行(xing)政許可(ke)事項(xiang)的批復有效期為六(liu)個(ge)月(yue)，以有利于(yu)投(tou)資(zi)者(zhe)自主把(ba)握增持節(jie)奏，也有利于(yu)防范內(nei)幕交(jiao)易。二是在(zai)表述上進一(yi)(yi)步突出強調了對投(tou)資(zi)人(ren)入股(gu)信(xin)托公司(si)目的端正(zheng)的要求(qiu)。三是明確(que)上市信(xin)托公司(si)按(an)照(zhao)法(fa)律、行(xing)政法(fa)規規定(ding)(ding)股(gu)權(quan)需集中存管到法(fa)定(ding)(ding)證券登記結算機構的，股(gu)權(quan)托管工作(zuo)按(an)照(zhao)相應(ying)的規定(ding)(ding)進行(xing)。

日期：2020-2-12 14:41:39 | 關閉 |