监管要求
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出手了 剑指三大违规操作!禁止任何形式泄露分红信息行为
Zhong Guo Ji Jin Bao· 2026-01-14 15:13
Core Viewpoint - The regulatory authorities have issued new requirements for fund dividends, emphasizing a "zero tolerance" approach towards non-compliant dividend practices in the fund industry [1][4]. Regulatory Requirements - The new regulations focus on three main areas: enhancing the management of the entire dividend process to ensure legality and compliance, strictly controlling the amount of dividends to prevent artificial inflation of net worth, and prohibiting any form of information leakage regarding dividends [1][6][8]. Identified Violations - The report identifies three main types of non-compliant behaviors by fund companies: 1. Creating "high net worth fund shells" to attract institutional investors for tax evasion through high dividend payouts [3]. 2. Deliberately leaking dividend information to entice institutional investors to redeem funds before dividends are paid [3]. 3. Implementing dividends based on specific client requests for tax avoidance purposes [3]. Enforcement Actions - The regulatory body has taken strict enforcement actions against several fund companies, including orders to rectify practices and suspending related business for three months, as well as holding responsible executives accountable [5][4]. Importance of Compliance - The report emphasizes that fund dividends are crucial for stabilizing returns for investors and enhancing their sense of gain, urging fund companies to prioritize the best interests of their holders and comply with legal standards [7][9].
X @外汇交易员
外汇交易员· 2025-09-22 12:09
富途证券、老虎证券进一步关闭中国内地居民开户通道根据最新监管要求,富途证券开户条件有所变更,目前中国内地客户开户需持有海外永居身份证明。富途牛牛客服强调,现在公司正在进行系统升级,现阶段仅支持有中国香港或澳门身份证的客户开户;待系统升级完成后,客户可使用内地身份证+海外永居身份证明进行开户。老虎证券客服也表示,应监管最新要求,公司调整了关于中国内地居民的开户政策,自上周开始不再接受中国内地居民通过提供境外工作或生活相关证明文件开户,仅接受持有非中国内地身份证件的客户申请开户。(一财)🗒️此前盈透已收紧开户要求,内地客户开户需要提供海外居留证明文件。 ...