4月3日，中國(guo)證監會(hui)新(xin)聞(wen)發(fa)言人張(zhang)曉軍在(zai)例行發(fa)布會(hui)上(shang)通報了證監會(hui)一季(ji)度對券(quan)(quan)(quan)商融(rong)(rong)(rong)資類業務的(de)現場檢查情況(kuang)。六(liu)家券(quan)(quan)(quan)商因在(zai)融(rong)(rong)(rong)資融(rong)(rong)(rong)券(quan)(quan)(quan)業務中有違規情況(kuang)被證監會(hui)分(fen)別采取(qu)了不同程度的(de)處罰。

據了(le)解，證監會組織系統力(li)量于(yu)2015年2月(yue)2日(ri)至15日(ri)期間，對(dui)46家(jia)證券(quan)公司(si)的(de)融(rong)資類業務進行了(le)為期2周的(de)現場檢(jian)查。

“從檢(jian)查(cha)結(jie)果(guo)看，目前，證券(quan)公司(si)融(rong)資融(rong)券(quan)等融(rong)資類業務總(zong)體規范，未發現重(zhong)大違(wei)法違(wei)規行為(wei)，但部分公司(si)仍存在向不(bu)符合(he)條件(jian)的客戶融(rong)資融(rong)券(quan)、為(wei)到期(qi)融(rong)資融(rong)券(quan)合(he)約展期(qi)、違(wei)規為(wei)客戶與(yu)他人之(zhi)間融(rong)資活動提(ti)供便利等違(wei)規問題。”張曉軍(jun)表示。

具(ju)體來看，長城證(zheng)券(quan)(quan)存在向不符(fu)合(he)條(tiao)(tiao)件的(de)客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)、代銷傘形信(xin)托產品、為P2P平臺向其客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資提供便利等問題(ti)(ti)，違(wei)規情節(jie)較(jiao)重(zhong)，對(dui)其采(cai)(cai)取(qu)暫停新開(kai)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)客(ke)戶(hu)(hu)信(xin)用賬戶(hu)(hu)3個月的(de)行(xing)(xing)政(zheng)監管措(cuo)施。華泰證(zheng)券(quan)(quan)存在向不符(fu)合(he)條(tiao)(tiao)件的(de)客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)、向風險(xian)承(cheng)擔能力不足(zu)的(de)客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)、未按(an)照規定方(fang)式為部(bu)分客(ke)戶(hu)(hu)開(kai)立(li)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)信(xin)用賬戶(hu)(hu)等問題(ti)(ti)，違(wei)規情節(jie)較(jiao)重(zhong)，對(dui)其采(cai)(cai)取(qu)責(ze)令限期改正的(de)行(xing)(xing)政(zheng)監管措(cuo)施。國(guo)信(xin)證(zheng)券(quan)(quan)存在向不符(fu)合(he)條(tiao)(tiao)件的(de)客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)問題(ti)(ti)，違(wei)規情節(jie)較(jiao)重(zhong)，對(dui)其采(cai)(cai)取(qu)責(ze)令增加(jia)內部(bu)合(he)規檢查次數的(de)行(xing)(xing)政(zheng)監管措(cuo)施。五(wu)礦證(zheng)券(quan)(quan)、華西證(zheng)券(quan)(quan)、中金(jin)公(gong)司存在向不符(fu)合(he)條(tiao)(tiao)件的(de)客(ke)戶(hu)(hu)融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)、為到期融(rong)(rong)(rong)(rong)資融(rong)(rong)(rong)(rong)券(quan)(quan)合(he)約展(zhan)期等問題(ti)(ti)，對(dui)這3家公(gong)司采(cai)(cai)取(qu)警(jing)示的(de)行(xing)(xing)政(zheng)監管措(cuo)施。

張曉軍(jun)透露，下一(yi)(yi)步(bu)，證監會將(jiang)繼(ji)續以強(qiang)化(hua)客戶適當性(xing)管(guan)理(li)和防(fang)范(fan)系統性(xing)風險為重點(dian)，加強(qiang)證券公(gong)司融資(zi)類(lei)業務監管(guan)，進一(yi)(yi)步(bu)提高現場檢查針(zhen)對性(xing)和有效性(xing)，促進證券公(gong)司融資(zi)類(lei)業務規范(fan)健康發展。