三家信托公司交易管理有问题 交易商协会要求整改

Core Viewpoint - The interbank market trading association has issued penalties to three trust companies for violations related to debt financing tools, requiring comprehensive rectification measures from the involved companies [1][2]. Group 1: Penalties and Violations - Yunnan Trust failed to perform prudent management duties, facilitating unauthorized trading by unqualified personnel and engaging in improper holding transactions of debt financing tools, resulting in a severe warning and a mandate for comprehensive internal control and compliance rectification [1][2]. - Shanxi Trust conducted transactions not based on genuine demand, charged fees beyond interest during the purchase of debt financing tools, and assisted issuers in non-market-based issuance, leading to a warning and a requirement for thorough rectification [2]. - Zhongrong Trust also engaged in transactions not grounded in real demand, charging additional fees during the acquisition of debt financing tools, which resulted in a warning and a directive for comprehensive rectification [2]. Group 2: Regulatory Actions and Monitoring - The trading association will closely monitor violations in the primary bond issuance process, including structured bond issuance, rebate issuance, and interference with issuance rates, with strict penalties for serious violations across various institutions [3]. - There are multiple institutions currently under investigation for suspected non-market-based issuance practices [4].