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基金托管牌照扩容降温,年内6家券商撤回申请
Group 1 - The core point of the news is the significant reduction in the number of securities firms applying for fund custody qualifications, with only three remaining in the queue, primarily due to new regulatory requirements that have raised the entry barriers for such qualifications [1][2][4] - As of the end of 2024, there were originally seven securities firms applying for fund custody qualifications, but six have withdrawn their applications in just over eight months, leaving only Dongwu Securities remaining [1][4][8] - The new fund custody regulations aim to shift the industry focus from "quantity expansion" to "quality competition," implementing "hard thresholds and dynamic supervision" to reshape the industry ecosystem [1][7] Group 2 - The new regulations have increased the net asset requirement for securities firms to 300 billion RMB, which many smaller firms cannot meet, leading to a wave of withdrawals from the application process [6][7] - Among the seven firms that were previously in the application queue, only Dongwu Securities met the new net asset requirement, with a net asset of 429 billion RMB as of the first quarter of this year [8] - The current landscape shows that only 68 institutions in China have fund custody qualifications, with 36 being banks and 30 being securities firms, indicating a concentration of custody services among a few large players [4][9] Group 3 - The fund custody industry is experiencing a trend towards concentration, with banks and a few large securities firms managing approximately 80%-90% of public and private investment funds [9][10] - The top five securities firms in terms of the number of private fund custody services account for 65.71% of the total, highlighting the dominance of larger firms in the market [10] - The market dynamics suggest that smaller securities firms may need to explore differentiated survival strategies, such as collaborating with larger firms for operational support, as they face increasing marginalization [11]
撤回潮!6家券商撤回基金托管申请
中国基金报· 2025-08-20 05:49
中国基金报记者 莫琳 近日,证监会官网公示了证券、基金经营机构行政许可申请受理及审核情况。据披露,目前排队申请基金托管资格的机构只有3家,其中券 商仅剩东吴证券1家。 | | | | | | 表11:证券投资基金托管资格 | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | | | | | | | | | 审核期限:20个工作日 | | | | | | | 会晤 | 受理决定 | | 南香 | | | | | | 席吐 | 申请人 | 托营资格类 ਸੰਗ | 申请材料 | 补正目 | 或者个子 | 第一次反 | 接收第一 次反馈材 | 第二次反 | 接收第二 次反馈材 | 决定 | 台注 | | | | | 接收日 | | 受理决定 馈意见日 = | | 科目 | 馈意见日 | 料日 | | | | | 蒙商银行股份有 限公司 | 正会投资其会 托管资格 | 2021/1/28 | 2021/2/2 | | | | | | | | | 2 | 广州银行居份有 | 正学投资基金 ...
兴业基金管理有限公司 关于国泰君安证券股份有限公司换股吸收合并 海通证券股份有限公司相关业务的提示性公告
Core Viewpoint - The merger between Guotai Junan Securities Co., Ltd. and Haitong Securities Co., Ltd. will result in Guotai Junan inheriting all assets, liabilities, businesses, personnel, contracts, qualifications, and other rights and obligations of Haitong Securities from the effective date of the merger [1] Group 1 - Haitong Securities' legal rights and obligations from documents signed before the merger will be inherited by Guotai Junan [1] - Guotai Junan will complete the registration of its name change and will conduct business and management activities under the new name [1] - Guotai Junan will continue to provide custody and operational outsourcing services previously offered by Haitong Securities [1] Group 2 - All asset management products previously managed by Haitong Securities, including public funds and private asset management plans, will have their custodian changed to Guotai Junan from the effective date of the merger [1] - Guotai Junan will inherit all rights and obligations as the custodian for these products, ensuring seamless custody services [1] - Guotai Junan will also continue to provide professional and efficient fund services as the fund service institution under relevant agreements [1]