每經記(ji)者｜陳晨    每經編輯｜彭水萍(ping)

時隔一(yi)(yi)年(nian)，中(zhong)信(xin)(xin)證(zheng)(zheng)(zheng)券股(gu)(gu)權無償劃轉事項得(de)到證(zheng)(zheng)(zheng)監(jian)(jian)會核(he)準，中(zhong)國(guo)中(zhong)信(xin)(xin)金融控股(gu)(gu)有限公司（以下簡(jian)稱中(zhong)信(xin)(xin)金控）成為中(zhong)信(xin)(xin)證(zheng)(zheng)(zheng)券第(di)一(yi)(yi)大股(gu)(gu)東(dong)。今日晚間(jian)，中(zhong)信(xin)(xin)證(zheng)(zheng)(zheng)券披露了關于第(di)一(yi)(yi)大股(gu)(gu)東(dong)股(gu)(gu)權變更(geng)的(de)進展公告，中(zhong)信(xin)(xin)證(zheng)(zheng)(zheng)券表示(shi)，證(zheng)(zheng)(zheng)監(jian)(jian)會就公司關于變更(geng)持有5%以上股(gu)(gu)權的(de)主(zhu)要(yao)股(gu)(gu)東(dong)的(de)行政許可申請予(yu)以核(he)準。同(tong)時，證(zheng)(zheng)(zheng)監(jian)(jian)會網站也披露了關于核(he)準中(zhong)信(xin)(xin)證(zheng)(zheng)(zheng)券變更(geng)主(zhu)要(yao)股(gu)(gu)東(dong)的(de)批復。

圖(tu)片來源：視覺中國-VCG41N1162556855

記者注(zhu)意到，截至目前還(huan)有7家(jia)券(quan)商正在推進變更5%以(yi)上股權事項，其中民生證(zheng)(zheng)券(quan)、德邦證(zheng)(zheng)券(quan)以(yi)及華福證(zheng)(zheng)券(quan)是(shi)近兩個月提交申請材料并獲證(zheng)(zheng)監會接收(shou)。

證監會核準中信證券第一大股東變更

去年6月22日，中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)證(zheng)(zheng)券(quan)發(fa)(fa)布(bu)公告稱，中(zhong)(zhong)(zhong)(zhong)國中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)有(you)限(xian)(xian)公司（以(yi)下(xia)簡稱中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)有(you)限(xian)(xian)）、中(zhong)(zhong)(zhong)(zhong)國中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)股(gu)份(fen)有(you)限(xian)(xian)公司（以(yi)下(xia)簡稱中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)股(gu)份(fen)）決定向中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)金控無償(chang)劃轉合計持有(you)的(de)中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)證(zheng)(zheng)券(quan)股(gu)份(fen)27.34億(yi)股(gu)，包括中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)有(you)限(xian)(xian)直接持有(you)的(de)中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)證(zheng)(zheng)券(quan)23億(yi)股(gu)A股(gu)以(yi)及中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)股(gu)份(fen)直接持有(you)的(de)中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)證(zheng)(zheng)券(quan)4.34億(yi)股(gu)H股(gu)，占中(zhong)(zhong)(zhong)(zhong)信(xin)(xin)(xin)(xin)(xin)證(zheng)(zheng)券(quan)已發(fa)(fa)行股(gu)份(fen)總數的(de)18.45%。

本次無償劃(hua)轉前，中(zhong)信(xin)有(you)限(xian)持(chi)有(you)中(zhong)信(xin)證(zheng)(zheng)券23億股(gu)(gu)(gu)A股(gu)(gu)(gu)，占中(zhong)信(xin)證(zheng)(zheng)券已發行股(gu)(gu)(gu)份總數的15.52%，中(zhong)信(xin)股(gu)(gu)(gu)份持(chi)有(you)中(zhong)信(xin)證(zheng)(zheng)券4.34億股(gu)(gu)(gu)H股(gu)(gu)(gu)，占中(zhong)信(xin)證(zheng)(zheng)券總股(gu)(gu)(gu)本的2.93%。

本(ben)次無償劃轉完成后，中(zhong)信金控將直接持有(you)中(zhong)信證券(quan)27.34億股(gu)(gu)股(gu)(gu)份，包括23億股(gu)(gu)A股(gu)(gu)以(yi)及4.34億股(gu)(gu)H股(gu)(gu)，占中(zhong)信證券(quan)總股(gu)(gu)本(ben)的18.45%，中(zhong)信金控將承繼中(zhong)信有(you)限第一大股(gu)(gu)東地(di)位。彼(bi)時，有(you)分析稱，股(gu)(gu)權劃轉完成后，“券(quan)商航母”有(you)望持續受(shou)益(yi)于中(zhong)信金控內部協同。

時隔一年，中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券股權劃(hua)轉終于獲(huo)證(zheng)監(jian)(jian)會批復。今日(ri)晚間，中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券發(fa)布了相關獲(huo)核準的公告。同時，證(zheng)監(jian)(jian)會網(wang)站也(ye)披露了關于核準中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券變更(geng)主要股東的批復，核準中(zhong)(zhong)(zhong)信(xin)(xin)(xin)金(jin)(jin)控(kong)成為中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券主要股東，對中(zhong)(zhong)(zhong)信(xin)(xin)(xin)金(jin)(jin)控(kong)依法(fa)受讓中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券27.34億股股份(fen)（占中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券股份(fen)總數18.45%）無(wu)異(yi)議。此(ci)外，證(zheng)監(jian)(jian)會要求中(zhong)(zhong)(zhong)信(xin)(xin)(xin)證(zheng)券自本批復下發(fa)之日(ri)起30個(ge)工作日(ri)內(nei)，依法(fa)辦理(li)上述股權的變更(geng)手(shou)續。

記者了解到，2022年(nian)3月16日，中(zhong)(zhong)(zhong)國(guo)人民銀行正式批準了中(zhong)(zhong)(zhong)信(xin)金控(kong)(kong)的(de)金融(rong)(rong)控(kong)(kong)股公司(si)設立許可。中(zhong)(zhong)(zhong)信(xin)證券表示(shi)，中(zhong)(zhong)(zhong)信(xin)集團將通過中(zhong)(zhong)(zhong)信(xin)金控(kong)(kong)進一步加(jia)強對(dui)綜合(he)金融(rong)(rong)服(fu)務(wu)板塊的(de)集中(zhong)(zhong)(zhong)統一管控(kong)(kong)，強化金融(rong)(rong)服(fu)務(wu)能力，筑牢高質量(liang)發展(zhan)基礎(chu)，促進綜合(he)金融(rong)(rong)服(fu)務(wu)板塊的(de)長期健康發展(zhan)。

近兩月有3家券商提交變更申請

根據(ju)證(zheng)(zheng)(zheng)(zheng)監會(hui)網站披(pi)露，截(jie)至(zhi)6月30日(ri)，還(huan)在等待(dai)證(zheng)(zheng)(zheng)(zheng)監會(hui)審批變更5%以上股權及(ji)實際控(kong)制(zhi)人的(de)證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)公司有7家(jia)，分別是國都(dou)證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)、宏(hong)信證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)、大(da)同證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)、太平洋證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)、民生證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)、德邦證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)以及(ji)華福證(zheng)(zheng)(zheng)(zheng)券(quan)(quan)(quan)(quan)，其中后三家(jia)是在近兩(liang)個月提交的(de)申請材料并獲證(zheng)(zheng)(zheng)(zheng)監會(hui)接收。

今(jin)年(nian)4月(yue)10日，民生(sheng)證(zheng)(zheng)(zheng)券(quan)變更5%以上(shang)股權的(de)申(shen)(shen)請(qing)材料獲證(zheng)(zheng)(zheng)監會接收，目前仍處于受理(li)階段。記者(zhe)了解到，今(jin)年(nian)3月(yue)15日，國聯證(zheng)(zheng)(zheng)券(quan)的(de)控股股東國聯集團通過司(si)法拍賣，競得泛海控股持有(you)的(de)民生(sheng)證(zheng)(zheng)(zheng)券(quan)34.71億股股權，占民生(sheng)證(zheng)(zheng)(zheng)券(quan)總股本的(de)30.3%，成(cheng)交價(jia)格91.05億元。根據(ju)國聯證(zheng)(zheng)(zheng)券(quan)公告(gao)稱，截(jie)至4月(yue)28日，國聯集團已取(qu)得山東省濟南市中級人民法院出具的(de)《成(cheng)交確認書(shu)》 并已經支付(fu)價(jia)款，民生(sheng)證(zheng)(zheng)(zheng)券(quan)已向中國證(zheng)(zheng)(zheng)監會提交變更主要股東的(de)申(shen)(shen)請(qing)。

值得一提(ti)的是，民生證券(quan)(quan)股權(quan)進(jin)展(zhan)事(shi)項(xiang)已對國聯(lian)(lian)證券(quan)(quan)的相(xiang)關審批事(shi)項(xiang)產生了些許影(ying)響。6月28日，證監會(hui)(hui)披露了關于國聯(lian)(lian)證券(quan)(quan)向專(zhuan)業(ye)投資(zi)(zi)者公開(kai)發行公司(si)債券(quan)(quan)申請文件的問詢(xun)函，證監會(hui)(hui)提(ti)出，請國聯(lian)(lian)證券(quan)(quan)結合《證券(quan)(quan)公司(si)股權(quan)管(guan)理規(gui)定》等證券(quan)(quan)公司(si)相(xiang)關監管(guan)要求(qiu)，以及控股股東收購(gou)民生證券(quan)(quan)的進(jin)展(zhan)情況(kuang)，進(jin)一步(bu)說明此次收購(gou)是否會(hui)(hui)對國聯(lian)(lian)證券(quan)(quan)自身股權(quan)結構、經(jing)營管(guan)理、相(xiang)關資(zi)(zi)金安排及債券(quan)(quan)償付能力(li)產生影(ying)響。

除了民生證(zheng)(zheng)(zheng)(zheng)券(quan)外(wai)，證(zheng)(zheng)(zheng)(zheng)監會在6月26日(ri)還分別接收了德(de)邦證(zheng)(zheng)(zheng)(zheng)券(quan)和(he)華福(fu)證(zheng)(zheng)(zheng)(zheng)券(quan)變更5%以上(shang)股權(quan)(quan)的(de)相(xiang)關申請材料。記者(zhe)了解到，今(jin)年5月末，有消息(xi)稱，為(wei)了上(shang)市，華福(fu)證(zheng)(zheng)(zheng)(zheng)券(quan)已經開始籌備股份改造和(he)戰(zhan)略(lve)投(tou)資(zi)者(zhe)引入事項，擬引入的(de)戰(zhan)略(lve)投(tou)資(zi)者(zhe)合計持股比例不超過20%。另外(wai)，今(jin)年6月初，也有消息(xi)稱，山東省財金投(tou)資(zi)集團有限公司等山東國資(zi)擬從“復星系”收購部分德(de)邦證(zheng)(zheng)(zheng)(zheng)券(quan)股權(quan)(quan)，最終(zhong)實現(xian)控股德(de)邦證(zheng)(zheng)(zheng)(zheng)券(quan)。

封面(mian)圖片來源：布局-國際(ji)象棋 商務(wu)策(ce)略 挑戰 市場營銷-VCG41N1162556855