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內地八部門印發《綜合整治非法跨境證券期貨基金經營活動實施方案》 設置兩年集中整治期
中證監、工信部、人行及市監總局等八部門聯合印發《綜合整治非法跨境證券期貨基金經營活動實施方案》,總體要求是經過兩年集中整治,全面取締境外證券期貨基金經營機構非法跨境經營活動,實現「堅決取締非法、穩妥清理存量」的整治目標。整治對象包括非法跨境經營證券期貨基金業務的境外機構、協助境外機構非法跨境經營的境內關聯或合作主體、招攬境內投資者的非法中介、違法違規發布信息...
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內地八部門印發《綜合整治非法跨境證券期貨基金經營活動實施方案》 設置兩年集中整治期
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中證監、工信部、人行及市監總局等八部門聯合印發《綜合整治非法跨境證券期貨基金經營活動實施方案》,總體要求是經過兩年集中整治,全面取締境外證券期貨基金經營機構非法跨境經營活動,實現「堅決取締非法、穩妥清理存量」的整治目標。

整治對象包括非法跨境經營證券期貨基金業務的境外機構、協助境外機構非法跨境經營的境內關聯或合作主體、招攬境內投資者的非法中介、違法違規發布信息的互聯網平台及網絡自媒體等。

對境外機構非法跨境經營活動依法予以取締,對相關主體違反外匯管理、反洗錢、網絡安全和信息管理、個人信息保護等法律法規規定的行為,一併納入整治範圍。

取締非法跨境經營活動相關工作要求方面,禁止境外機構在境內非法開展證券期貨基金業務相關營銷招攬活動,包括在境內營運網站及交易軟件、發布營銷信息、推送投資資訊、開展返利營銷活動、宣傳推介和誘導認購境外股票等。禁止互聯網平台在境內為境外機構非法跨境經營提供營銷宣傳、證券期貨開戶通道等便利。禁止網絡自媒體賬號在境內發布相關推介引流信息等。

禁止境外機構在境內提供非法證券期貨基金業務相關開戶、處理交易指令、資金劃轉等交易服務,包括通過網站、交易軟件及配套服務器等跨境接收和傳輸開戶申請及交易指令等。禁止任何單位和個人指導或協助境內投資者違規開戶。

禁止境內相關主體協助境外機構違法開展營銷活動、非法提供交易服務,以及為境外機構非法跨境經營提供網站、交易軟件開發營運、客戶服務等支持服務。

此外,設置兩年集中整治期清理非法存量業務。集中整治期內,禁止境外機構為存量投資者在境內非法提供買入交易、轉入資金等服務,只允許單向賣出交易並轉出資金。集中整治期滿後,境外機構要全面關停境內網站、交易軟件及配套服務器,禁止為存量投資者在境內非法提供交易等服務。投資者的財產安全不受整治影響。境外機構要做好與在境內受整治措施影響的投資者的溝通聯系及其賬戶處置安排,保障客戶財產安全。(jl/da)

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