元大原油正2恐面臨下市危機 金管會抓到 - 股票

By Dinah
at 2020-09-17T19:57
at 2020-09-17T19:57
Table of Contents
1.原文連結:
※過長無法點擊者必須縮網址
https://www.ettoday.net/news/20200917/1811559.htm
2.原文內容:
元大原油正2恐面臨下市危機 金管會抓到缺失罰60萬
記者紀佳妘/台北報導
國際油價今年初首次出現負油價,元大S&P原油正2(00672L)面臨下市危機,
金管會今(17)日表示,金檢時發現元大投信操作內控疏失,最後處以60萬元罰鍰;
此外,該檔基金若於9月底前往前推算30天平均淨值不到2元,屆時須申請下市。
金管會證期局表示,檢查局今年6月進行例行金檢時,
發現4月至6月期間出現操作內控缺失,
主要是元大投信對該檔基金的重大調整投資策略,
相關資料未留存經適當核決或授權的簽核紀錄,且分層負責明細表未事先明定簽核程序,
儘管後來公司說明有到董事長同意,但過程沒有留下書面軌跡,
代表內部控制制度的設計顯然不足。
證期局指出,元大投信未依證交所「對上市受益憑證信託事業及境外基金機構重大訊息之
查證暨公開處理程序」所定期限辦理公告作業,
按照程序應在改變交易隔天就公告,但公司卻晚了2天。
另依證券曁期貨市場各服務事業建立內部控制制度處理準則第33條規定,
證期局命令元大投信必須委託第三方財務報告簽證會計師事務所的會計師,
專案審查改善後的內部控制制度,並出具審查報告。
證期局指出,在會計師出具對於內部控制制度的設計及執行有效性的審查意見,
並經金管會同意前,得依期貨信託基金管理辦法第17條第8款規定,
退回或不核准該公司期貨信託基金募集案件;
根據統計,元大投信現在有一檔募集案的申請,恐會被退回。
「元大S&P原油正2」ETF面臨下市,證期局則說,
截至8月底,該檔基金發行規模約36億元;另依照規定,從9月底往前算30個營業日,
每單位淨值平均未達2元,必須申請下市,一般來說申請下市有一定作業流程,
獲准後公告下市啟動程序約要一個月至一個半月的時間,因此屆時淨值無法回到2元,
最快11月中旬將下市;據了解,目前從9月16日往前算30天,每單位淨值平均為0.87元。
對此,元大投信表示,尊重主管機關的裁罰結果,
公司會盡速依照主管機關的指示予以改善。
3.心得/評論:
※必需填寫滿20字
要懲處元大 這不是來了嗎
是只有查到內控疏失
還是目前先查這個 其他還在查?
重罰60萬 高興惹吧
--
※過長無法點擊者必須縮網址
https://www.ettoday.net/news/20200917/1811559.htm
2.原文內容:
元大原油正2恐面臨下市危機 金管會抓到缺失罰60萬
記者紀佳妘/台北報導
國際油價今年初首次出現負油價,元大S&P原油正2(00672L)面臨下市危機,
金管會今(17)日表示,金檢時發現元大投信操作內控疏失,最後處以60萬元罰鍰;
此外,該檔基金若於9月底前往前推算30天平均淨值不到2元,屆時須申請下市。
金管會證期局表示,檢查局今年6月進行例行金檢時,
發現4月至6月期間出現操作內控缺失,
主要是元大投信對該檔基金的重大調整投資策略,
相關資料未留存經適當核決或授權的簽核紀錄,且分層負責明細表未事先明定簽核程序,
儘管後來公司說明有到董事長同意,但過程沒有留下書面軌跡,
代表內部控制制度的設計顯然不足。
證期局指出,元大投信未依證交所「對上市受益憑證信託事業及境外基金機構重大訊息之
查證暨公開處理程序」所定期限辦理公告作業,
按照程序應在改變交易隔天就公告,但公司卻晚了2天。
另依證券曁期貨市場各服務事業建立內部控制制度處理準則第33條規定,
證期局命令元大投信必須委託第三方財務報告簽證會計師事務所的會計師,
專案審查改善後的內部控制制度,並出具審查報告。
證期局指出,在會計師出具對於內部控制制度的設計及執行有效性的審查意見,
並經金管會同意前,得依期貨信託基金管理辦法第17條第8款規定,
退回或不核准該公司期貨信託基金募集案件;
根據統計,元大投信現在有一檔募集案的申請,恐會被退回。
「元大S&P原油正2」ETF面臨下市,證期局則說,
截至8月底,該檔基金發行規模約36億元;另依照規定,從9月底往前算30個營業日,
每單位淨值平均未達2元,必須申請下市,一般來說申請下市有一定作業流程,
獲准後公告下市啟動程序約要一個月至一個半月的時間,因此屆時淨值無法回到2元,
最快11月中旬將下市;據了解,目前從9月16日往前算30天,每單位淨值平均為0.87元。
對此,元大投信表示,尊重主管機關的裁罰結果,
公司會盡速依照主管機關的指示予以改善。
3.心得/評論:
※必需填寫滿20字
要懲處元大 這不是來了嗎
是只有查到內控疏失
還是目前先查這個 其他還在查?
重罰60萬 高興惹吧
--
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