每(mei)經記者｜陳晨(chen)    每(mei)經編(bian)輯｜肖芮(rui)冬 ;   

今日（3月3日），證(zheng)(zheng)監(jian)會發布了對中金(jin)公(gong)(gong)司(si)設(she)立證(zheng)(zheng)券資產管理專業子(zi)公(gong)(gong)司(si)反饋(kui)意(yi)見，而這也是證(zheng)(zheng)監(jian)會第二(er)次(ci)對中金(jin)公(gong)(gong)司(si)提(ti)(ti)出(chu)反饋(kui)意(yi)見。每經記(ji)者注意(yi)到，證(zheng)(zheng)監(jian)會此次(ci)提(ti)(ti)出(chu)三大問題(ti)，其中涉及后續資管子(zi)公(gong)(gong)司(si)擬(ni)申請公(gong)(gong)募基金(jin)管理業務資格的安(an)排。

除了中(zhong)金公(gong)司外，就在2月(yue)24日(ri)，證(zheng)監(jian)會也對國聯證(zheng)券設立(li)證(zheng)券資產管理專業(ye)子公(gong)司提出反(fan)饋意見(jian)。

中金公司設立資管子公司事宜受二次反饋

今日，證監會披露了(le)中(zhong)金(jin)(jin)(jin)(jin)公(gong)(gong)(gong)(gong)(gong)司(si)申(shen)請(qing)設立證券資(zi)產(chan)管(guan)(guan)(guan)(guan)理(li)(li)專業(ye)子公(gong)(gong)(gong)(gong)(gong)司(si)（以(yi)(yi)下(xia)簡(jian)稱資(zi)管(guan)(guan)(guan)(guan)子公(gong)(gong)(gong)(gong)(gong)司(si)）的(de)(de)反(fan)饋意(yi)見，需要中(zhong)金(jin)(jin)(jin)(jin)公(gong)(gong)(gong)(gong)(gong)司(si)進(jin)(jin)行(xing)回復，分別是：一(yi)、說(shuo)明進(jin)(jin)一(yi)步加強公(gong)(gong)(gong)(gong)(gong)司(si)治理(li)(li)、員工管(guan)(guan)(guan)(guan)理(li)(li)、合規內控(kong)管(guan)(guan)(guan)(guan)理(li)(li)的(de)(de)具(ju)體(ti)措施。二、就(jiu)中(zhong)金(jin)(jin)(jin)(jin)公(gong)(gong)(gong)(gong)(gong)司(si)、中(zhong)金(jin)(jin)(jin)(jin)財(cai)富、資(zi)管(guan)(guan)(guan)(guan)子公(gong)(gong)(gong)(gong)(gong)司(si)資(zi)管(guan)(guan)(guan)(guan)業(ye)務劃分情況，以(yi)(yi)及(ji)中(zhong)金(jin)(jin)(jin)(jin)公(gong)(gong)(gong)(gong)(gong)司(si)與(yu)中(zhong)金(jin)(jin)(jin)(jin)財(cai)富各項業(ye)務劃分方案的(de)(de)落實(shi)情況進(jin)(jin)一(yi)步說(shuo)明。三、根(gen)據申(shen)請(qing)材料(liao)，后續資(zi)管(guan)(guan)(guan)(guan)子公(gong)(gong)(gong)(gong)(gong)司(si)擬申(shen)請(qing)公(gong)(gong)(gong)(gong)(gong)募基(ji)金(jin)(jin)(jin)(jin)管(guan)(guan)(guan)(guan)理(li)(li)業(ye)務資(zi)格，說(shuo)明上述安排與(yu)中(zhong)金(jin)(jin)(jin)(jin)公(gong)(gong)(gong)(gong)(gong)司(si)和中(zhong)金(jin)(jin)(jin)(jin)財(cai)富的(de)(de)資(zi)管(guan)(guan)(guan)(guan)業(ye)務劃分方案是否銜(xian)接一(yi)致。

事實(shi)上，這(zhe)已是中(zhong)金公(gong)(gong)(gong)司(si)(si)(si)就設(she)立(li)資管(guan)子(zi)公(gong)(gong)(gong)司(si)(si)(si)事項第(di)二次(ci)收(shou)到(dao)反饋意見(jian)。2021年(nian)3月(yue)，中(zhong)金公(gong)(gong)(gong)司(si)(si)(si)發(fa)布公(gong)(gong)(gong)告表示，擬(ni)出資15億元設(she)立(li)全資資管(guan)子(zi)公(gong)(gong)(gong)司(si)(si)(si)。同年(nian)8月(yue)，證監(jian)會接收(shou)中(zhong)金公(gong)(gong)(gong)司(si)(si)(si)材料。2022年(nian)6月(yue)，證監(jian)會披露了中(zhong)金公(gong)(gong)(gong)司(si)(si)(si)申請(qing)設(she)立(li)資管(guan)子(zi)公(gong)(gong)(gong)司(si)(si)(si)的(de)第(di)一次(ci)反饋意見(jian)，包含六個方面。

對比發現，兩次反(fan)(fan)饋意(yi)(yi)見(jian)(jian)都有(you)涉及說明中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)公(gong)司(si)(si)與中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)財富(fu)就(jiu)資管業(ye)務(wu)劃分(fen)方(fang)案的落實情況。據記者了(le)解，中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)財富(fu)是中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)公(gong)司(si)(si)旗下財富(fu)管理(li)業(ye)務(wu)品牌(pai)，是中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)公(gong)司(si)(si)發力財富(fu)管理(li)領域(yu)這一(yi)戰略意(yi)(yi)圖(tu)的實踐。另(ling)外，相(xiang)比第(di)一(yi)次反(fan)(fan)饋意(yi)(yi)見(jian)(jian)，本次反(fan)(fan)饋意(yi)(yi)見(jian)(jian)中(zhong)(zhong)(zhong)(zhong)提到了(le)后續資管子(zi)公(gong)司(si)(si)擬申請(qing)公(gong)募牌(pai)照，以及申請(qing)公(gong)募牌(pai)照是否與中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)公(gong)司(si)(si)和中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)財富(fu)的資管業(ye)務(wu)劃分(fen)方(fang)案銜接一(yi)致。而中(zhong)(zhong)(zhong)(zhong)金(jin)(jin)(jin)公(gong)司(si)(si)曾表示，資管子(zi)公(gong)司(si)(si)將申請(qing)公(gong)開募集(ji)證(zheng)券投資基(ji)金(jin)(jin)(jin)管理(li)業(ye)務(wu)。

公(gong)開數據顯示(shi)，2022年四(si)季度中(zhong)(zhong)金公(gong)司私募資產管理(li)月(yue)均規(gui)模達4088.02億元，僅次于中(zhong)(zhong)信證券、中(zhong)(zhong)銀(yin)證券，位居(ju)行業第三。

近期多家券商傳來資管子公司動態

申請(qing)設立(li)資(zi)管子公司正在券(quan)(quan)(quan)商行業內如火如荼(tu)開(kai)展(zhan)，除了(le)中(zhong)金公司外，目前還有(you)至少(shao)8家(jia)券(quan)(quan)(quan)商擬計劃設立(li)資(zi)管子公司，分(fen)別(bie)是(shi)國(guo)海證(zheng)(zheng)(zheng)券(quan)(quan)(quan)、華(hua)創(chuang)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)、中(zhong)信(xin)建投、東興(xing)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)、國(guo)聯證(zheng)(zheng)(zheng)券(quan)(quan)(quan)、國(guo)信(xin)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)、華(hua)安(an)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)和長城證(zheng)(zheng)(zheng)券(quan)(quan)(quan)等。

而就在2月24日，證監會也(ye)披露了國聯證券設立資管子公司的反饋意見，提(ti)出六大方面(mian)問題。

記者梳理發(fa)現，對國(guo)聯證券的反(fan)饋意見(jian)主要體現在(zai)(zai)人(ren)(ren)(ren)員(yuan)及高管(guan)(guan)方(fang)(fang)面。比(bi)如在(zai)(zai)人(ren)(ren)(ren)員(yuan)方(fang)(fang)面，證監會提出，說(shuo)明(ming)目前(qian)是否存在(zai)(zai)資管(guan)(guan)部(bu)(bu)人(ren)(ren)(ren)員(yuan)在(zai)(zai)無錫以外(wai)地(di)區辦公(gong)、展業情況(kuang)，如存在(zai)(zai)，說(shuo)明(ming)該部(bu)(bu)分人(ren)(ren)(ren)員(yuan)目前(qian)的工(gong)作(zuo)內(nei)(nei)容、地(di)點、設立(li)資管(guan)(guan)子(zi)公(gong)司(si)后該部(bu)(bu)分人(ren)(ren)(ren)員(yuan)是否平移至(zhi)資管(guan)(guan)子(zi)公(gong)司(si)、執業地(di)點及工(gong)作(zuo)內(nei)(nei)容；資管(guan)(guan)子(zi)公(gong)司(si)在(zai)(zai)注冊地(di)擬設置部(bu)(bu)門情況(kuang)及可行(xing)性。

在(zai)高管方面，證(zheng)(zheng)監會(hui)提(ti)出(chu)，說(shuo)(shuo)明(ming)(ming)國聯(lian)證(zheng)(zheng)券(quan)資(zi)管子公司擬(ni)任(ren)總經理、擬(ni)任(ren)監事(shi)在(zai)資(zi)管子公司設立(li)后(hou)的專兼(jian)職安排。說(shuo)(shuo)明(ming)(ming)資(zi)管子公司擬(ni)任(ren)副董事(shi)長在(zai)國聯(lian)證(zheng)(zheng)券(quan)分(fen)管業(ye)(ye)務情況(kuang)，并說(shuo)(shuo)明(ming)(ming)相關業(ye)(ye)務與資(zi)管業(ye)(ye)務間是(shi)否(fou)存(cun)在(zai)利益沖突，如存(cun)在(zai)，說(shuo)(shuo)明(ming)(ming)相應的利益沖突防范措施等。

值得一提(ti)的是，就在3月1日，萬(wan)億規模的“券(quan)商一哥”中信證券(quan)也傳來了(le)資管子(zi)公司的消(xiao)息。

中(zhong)信(xin)證券表(biao)示，2023年3月1日，中(zhong)信(xin)證券資(zi)產管理(li)有限公司(si)工商登記手續已(yi)辦理(li)完(wan)成并領取了營(ying)業執照，這意味著中(zhong)信(xin)資(zi)管正式踏入(ru)資(zi)管子(zi)公司(si)行列(lie)。

封面圖片來源(yuan)：視覺中國-VCG41N1254512570