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<p class="MsoNormal" style="layout-grid-mode: char; text-align: center; line-height: 28pt" align="center"><b><span style="font-size: 18pt; font-family: 宋體">交易商協會警告興業銀行、中信證券兩家主承銷商</span></b></p>
<p class="MsoNormal" style="layout-grid-mode: char; text-align: center; line-height: 28pt" align="center"><b><span lang="EN-US" style="font-size: 18pt; font-family: 宋體">&nbsp;</span></b></p>
<p class="MsoNormal" style="layout-grid-mode: char; line-height: 28pt; text-indent: 30pt"><span style="font-size: 15pt; font-family: 仿宋_GB2312">交易商協會<span lang="EN-US">2020</span>年第<span lang="EN-US">5</span>次自律處分會議審議決定,對興業銀行股份有限公司、中信證券股份有限公司兩家非金融企業債務融資工具主承銷商予以警告,并責令兩家機構限期整改。</span></p>
<p class="MsoNormal" style="layout-grid-mode: char; line-height: 28pt; text-indent: 30pt"><span style="font-size: 15pt; font-family: 仿宋_GB2312">經查,兩家機構在部分非金融企業債務融資工具項目招標過程中,中標承銷費率遠低于市場正常水平,預計承銷費收入明顯低于兩家機構核算的業務開展平均成本。經自律處分會議審議,其不正當競爭行為,違反了《銀行間債券市場非金融企業債務融資工具中介服務規則》等相關規定,對市場正常秩序造成不良影響。</span></p>
<p class="MsoNormal" style="layout-grid-mode: char; line-height: 28pt; text-indent: 30pt"><span style="font-size: 15pt; font-family: 仿宋_GB2312">債券市場主承銷商的職責非常關鍵。主承銷商為爭取市場份額,重視短期利益,在債務融資工具發行承攬中不當低價競爭,影響執業質量,致使本來高執業門檻、高技術含量、高標準規范的債券承銷業務低端化、廉價化、形式化,最終不僅會犧牲發行人、投資者的利益,還將損害市場穩健運行的根基。</span></p>
<p class="MsoNormal" style="layout-grid-mode: char; line-height: 28pt; text-indent: 30pt"><span style="font-size: 15pt; font-family: 仿宋_GB2312">近期,《中共中央國務院關于構建更加完善的要素市場化配置體制機制的意見》明確提出,要推動要素配置依據市場規則、市場價格、市場競爭實現效益最大化和效率最優化。國務院金融穩定發展委員會相關會議也多次強調,要堅決維護良好的市場環境,更好發揮資本市場服務實體經濟和投資者的功能。下一步,交易商協會將繼續強化對主承銷商等中介機構執業質量的監督檢查,督導各類機構盡職履責、合規從業,對相關機構業務開展中出現的嚴重違規行為,將及時查處糾正、有效懲戒,嚴肅市場紀律,維護市場秩序。</span></p>
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