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中国发布最新IPO配售对象黑名单
China blacklists nine HSBC mutual funds for IPO violations

来源:FT中文网    2017-08-04 18:25



        HSBC’s China fund management venture has been punished for misconduct related to IPO subscriptions, as regulators proceed with a broad campaign against financial corruption.        由于在首次公开发行(IPO)认购方面存在不当行为,汇丰(HSBS)在中国设立的合资基金公司受到处罚。中国监管层正进行一场大范围的打击金融腐败行动。
        China’s securities regulator is cracking down on bad behaviour in a mainland share market that is expected to attract up to $500bn in foreign money over the next decade following the inclusion of so-called A shares into MSCI’s emerging markets index.         中国证券监管机构正在打击A股市场的违法违规行为。在被纳入MSCI明晟新兴市场指数之后,A股市场在未来十年内有望吸引至多5000亿美元境外资金进入。
        The China Securities Regulatory Commission has already set a record for market-manipulation fines for a third straight year. This week a CSRC-controlled industry association        今年,中国证监会(CSRC)对市场操纵的处罚连续第三年创下了纪录。本周,中国证券业协会把1021个基金和个人投资者列入IPO股票配售对象黑名单,最长期限为12个月。
        banned 1,012 funds and individual investors from buying IPO shares for up to 12 months.         作为汇丰全球资产管理公司(HSBC Global Asset Management)和山西信托(Shanxi Trust & Investment)之间的合资企业,汇丰晋信(HSBC Jintrust)首当其冲,旗下管理资产总额为142亿元人民币(约合21亿美元)的9只基金进入黑名单。
        HSBC Jintrust, a joint venture between HSBC Global Asset Management and Shanxi Trust & Investment, led the blacklist, with nine funds with combined assets of Rmb14.2bn ($2.1bn) under management.         其中就有汇丰晋信大盘股票型证券投资基金,这是中国业绩最好的股票型基金之一。该基金规模为47亿元人民币,获得晨星(Morningstar)五星评级,其净值在过去3年里的增幅接近200%。周五,汇丰晋信没有答复记者的置评请求。
        Among these is the HSBC Jintrust Large Cap Equity Securities Investment Fund, one of China’s top-performing stock funds. With Rmb4.7bn under management and a five-star rating from Morningstar, its share price has nearly tripled in the past three years. HSBC Jintrust did not respond to a request for comment on Friday.        中国证券业协会表示,黑名单中的账户违反了IPO股票配售规则,但并未详细说明。该名单是针对2016年11月至12月的52个IPO项目的审查做出的。大约有125个机构进入名单,其中包括银行、券商、保险公司和基金公司。
        HSBC owns a 49 per cent stake in Jintrust, in line with previous rules limiting foreign institutions to minority-owned joint ventures. Last year, authorities began approving wholly-foreign-owned fund management companies, but they are not approved to sell mutual funds to retail investors.         分析人士表示,今年不诚信参与配售的情况变得更普遍,因为证监会加快了IPO审核的速度,由此降低了新股的稀缺性和股价的首日涨幅。但是,有些基金公司也许会跟承销商勾结在一起,制造IPO需求旺盛的印象。
        The securities association said that the blacklisted accounts violated rules on IPO allocations, without providing detail. The list was based on inspections of 52 IPOs in November and December 2016. Some 125 institutions were cited, including banks, brokerages, insurers and fund companies.         Ma Nan补充报道
        According to local media, many accounts were punished for submitting winning bids but then failing to proceed with actual share purchases.         译者/何黎
                
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