广州证券融资融券业务融资利息、融券费用和业务期限管理细则

广州证券融资融券业务融资利息、融券费用和业务期限管理细则 广州证券融资融券业务融资利息、融券费用 和业务期限管理细则 第一章 总则 第一条 为加强融资利息、融券费用和业务期限的管理～根据《证券公司融资融券业务》、证券交易所和中国证券登记结算公司有关规定、《广州证券融资融券业务管理办法》等有关规定～特制订本细则。 第二条 本细则中融资融券息费指公司向客户收取的与融资融券交易相关的利息和费用～包括融资利息、融券费用、额度承诺费和罚息等。 第三条 融资融券交易发生的经手费、证管费、过户费、佣金等交易费用按证券交易所和公司相关规定计收。 第二章 融资利息 第四条 融资利率:融资利率根据人民银行公布的半年期人民币贷款基准利率～结合公司营运成本和市场价格等因素在规定的范围内上浮～具体幅度由融资融券业务管理总部根据市场情况提出建议～报融资融券业务管理委员会(以下简称“融管会”)审议通过后执行。 第五条 融资利息计算:融资利息根据客户实际使用资金和实际使用时间计算～按每笔融资交易计算利息～按月结息～每月最后一天为结息日。遇融资利率调整时～调整日前的融资利息按调整前的融资利率收取,调整日后的融资利息按调整后的融资利率收取。 融资利息=?客户每日融资负债余额×融资利率,年利率,/360 and other bad habits. Implementation to grab at the front, the maximum possible for jobs initiative to achieve efficient service. To carry forward the meticulous, detailed style. In the Office is no small matter. Business services a small mistake, it is possible to order at its meetings disrupted the entire, feedback on the content and timing a bit negligent, it could work in a passive position, slightly poor reception, may affect the image of a place and unit. Therefore, the Office staff with a high degree of professionalism and responsibility, serious and responsible, meticulous, careful to do everything to ensure that globalSmoothly. To carry forward the hard work, honest style. Adhere to the "Ning public and poverty, is not private and rich" old adage, bearing in mind the purpose of serving, consciously resist the erosion of various corruption and self-discipline, integrity, do not take leadership on behalf of the Office for personal affairs, not banner of leading organs of self-serving, and always maintain and carry forward the fine style of hard work, thrift and career, be honest and upright. Comrades, Government Office work task is glorious, a great responsibility. Hope the city's system of Government Office around the overall situation, pay attention to implementation of work in the purpose, give full play to staff aides, integrated and coordinated implementation, supervision, service functions, close contact, strengthen coordination, collaboration, efforts for grass-roots leadership services, service, quality and level of services for the masses to push to a new level. 2003 annual summary meeting of the Office of the municipal government reports on innovation 第六条 融资利息的复核:融资利息结算日～存管中心根据融资业务资金发生明细记录计算应收融资利息总额～与融资融券管理系统提供的数据进行核对～并抽查复核客户明细记录以确定融资利息计算的正确性。 第七条 融资利率审批:融资利率由融资融券业务管理总部提出建议～报融管会审议通过后执行。具体审批流程如下: ,一,评级授信岗提出申请, ,二,评级授信复核岗复核, ,三,融资融券业务管理总部负责人审核, ,四,融管会按议事规则审批。 第八条 融资利率经融管会批准后～由融资融券业务管理总部设置。流程如下: ,一,监控阀值岗录入, ,二,运维管理岗复核。 第三章 融券费用 第九条 融券费率:根据人民银行公布的半年期人民币贷款基准利率上浮一定幅度～具体幅度由融资融券业务管理总部根据拟融出证券的基本情况制定～报融管会审议通过后执行。 第十条 融券费用的计算:融券费用根据客户实际卖出证券市值和实际使用证券的自然日天数计收～按每笔融券交易计费～按月结费～每月最后一天为结费日。遇融券费率调整时～调整日前的融券费用按调整前的融券费率收取,调整日后的融券费用按调整后的融券费率收取。 serving, and always maintain and carry forward the fine style of hard work, thrift and career, be hone-elfdiscipline, integrity, do not take leadership on behalf of the Office for personal affairs, not banner of leading organs of s-ious corruption and selfly resist the erosion of varAdhere to the "Ning public and poverty, is not private and rich" old adage, bearing in mind the purpose of serving, conscious reful to do everything to ensure that globalSmoothly. To carry forward the hard work, honest style. us, caunit. Therefore, the Office staff with a high degree of professionalism and responsibility, serious and responsible, meticulond timing a bit negligent, it could work in a passive position, slightly poor reception, may affect the image of a place and ent amatter. Business services a small mistake, it is possible to order at its meetings disrupted the entire, feedback on the contfor jobs initiative to achieve efficient service. To carry forward the meticulous, detailed style. In the Office is no small Implementation to grab at the front, the maximum possible and other bad habits. annual summary meeting of the Office of the municipal government reports on innovation roots leadership services, service, quality and level of services for the masses to push to a new level. 2003-on, efforts for grassntegrated and coordinated implementation, supervision, service functions, close contact, strengthen coordination, collaboratiose, give full play to staff aides, iHope the city's system of Government Office around the overall situation, pay attention to implementation of work in the purp st and upright. Comrades, Government Office work task is glorious, a great responsibility. - 2 - 月融券费用,月融券费用积数×融券费率/360 其中～月融券费用积数=?,客户每日每笔融券债务标的证券收盘价×每日融券数量余额-客户每日应收融券权益补偿款+ 客户每日应付融券权益补偿款, 融券标的证券当日无交易的～以最近一个交易日收盘价计算。 第十一条 融券费用的复核:融券费用结费日～存管中心根据融券发生明细记录计算应收融券费用总额～与融资融券管理系统提供的数据进行核对～并抽查复核客户明细记录以确定融券费用计算的正确性。 第十二条 融券费率审批:具体审批流程参照第七条融资费率的审批。 第十三条 融券费率经融管会批准后～由融资融券业务管理总部负责设置。流程如下: ,一,监控阀值岗录入, ,二,运维管理岗复核。 第四章 融资融券期限 第十四条 正常情况下的融资融券期限:正常情况下～客户每笔融资融券交易期限不超过6个月～从客户实际融入资金或证券之日起计算。客户可提前还款还券。融资提前归还顺序按客户融入资金的时间先后～先借先还。对于融券卖出同一证券的～归还顺序按交易到期剩余时间的长短～剩余时间越短的越先归还。 第十五条 特殊情况下的融资融券期限 ,一,授信期届满且已延续的融资融券期限:融资融券交易到期 s, Government Office work task is glorious, a great n innovationmeeting of the Office of the municipal government reports oroots leadership services, service, quality and level of services for the masses to push to a new level. 2003 annual summary -lose contact, strengthen coordination, collaboration, efforts for grassose, give full play to staff aides, integrated and coordinated implementation, supervision, service functions, cHope the city's system of Government Office around the overall situation, pay attention to implementation of work in the purp responsibility. serving, and always maintain and carry forward the fine style of hard work, thrift and career, be honest and upright. Comrade-ehalf of the Office for personal affairs, not banner of leading organs of selfdiscipline, integrity, do not take leadership on b-ly resist the erosion of various corruption and selfAdhere to the "Ning public and poverty, is not private and rich" old adage, bearing in mind the purpose of serving, conscious hard work, honest style. the responsibility, serious and responsible, meticulous, careful to do everything to ensure that globalSmoothly. To carry forward or reception, may affect the image of a place and unit. Therefore, the Office staff with a high degree of professionalism andtly pomeetings disrupted the entire, feedback on the content and timing a bit negligent, it could work in a passive position, slighiculous, detailed style. In the Office is no small matter. Business services a small mistake, it is possible to order at its the metImplementation to grab at the front, the maximum possible for jobs initiative to achieve efficient service. To carry forward and other bad habits. - 3 - 日在融资融券授信期届满日之后且授信期已延续的～融资融券交易期限按正常情况计算。 ,二,授信期届满且未延续的融资融券期限:融资融券交易到期日在融资融券授信期届满日之后且授信期未延续的～融资融券的期限缩短至授信期届满日。 ,三,融资融券标的证券暂停交易～未定恢复期限或恢复日在融资融券债务到期日之后的: 1、如交易恢复日确定且距离该笔融资、融券债务到期日不超过30个自然日～该笔融资、融券债务到期日顺延至交易恢复当日, 2、如交易恢复日不确定或距离该笔融资、融券债务到期日超过30个自然日～该笔融资、融券债务到期日顺延30个自然日。 上述债务清偿期限的顺延不受授信期届满的影响～但授信期届满后客户不得新增其他融资融券交易。顺延期限届满当日～客户应足额清偿债务。 融券债务因暂停交易无法买券还券的～客户应以资金形式偿还: ,1,暂停交易证券属于沪深300指数成分股的～客户应当偿还的金额～由乙方根据沪深300指数同期涨跌幅调整该暂停交易证券的估值～并按调整后的估值确定～具体计算公示为: 现金补偿金额=暂停交易前一交易日收盘价×暂停交易前一交易日融券数量余额×沪深300指数同期涨跌幅 ,2,暂停交易证券非沪深300指数成分股的～客户应当偿还的金额～由公司根据相应中证协基金行业股票估值指数同期涨跌幅调整该暂停交易证券的估值～并按调整后的估值确定～具体计算公示为: 现金补偿金额=暂停交易前一交易日收盘价×暂停交易前一交易日融券数量余额×相应中证协基金行业股票估值指数同期涨跌幅 st and upright. Comrades, Government Office work task is glorious, a great responsibility. serving, and always maintain and carry forward the fine style of hard work, thrift and career, be hone-elfdiscipline, integrity, do not take leadership on behalf of the Office for personal affairs, not banner of leading organs of s-ious corruption and selfly resist the erosion of varAdhere to the "Ning public and poverty, is not private and rich" old adage, bearing in mind the purpose of serving, conscious reful to do everything to ensure that globalSmoothly. To carry forward the hard work, honest style. us, caunit. Therefore, the Office staff with a high degree of professionalism and responsibility, serious and responsible, meticulond timing a bit negligent, it could work in a passive position, slightly poor reception, may affect the image of a place and ent amatter. Business services a small mistake, it is possible to order at its meetings disrupted the entire, feedback on the contfor jobs initiative to achieve efficient service. To carry forward the meticulous, detailed style. In the Office is no small Implementation to grab at the front, the maximum possible and other bad habits. annual summary meeting of the Office of the municipal government reports on innovation roots leadership services, service, quality and level of services for the masses to push to a new level. 2003-on, efforts for grassntegrated and coordinated implementation, supervision, service functions, close contact, strengthen coordination, collaboratiose, give full play to staff aides, iHope the city's system of Government Office around the overall situation, pay attention to implementation of work in the purp- 4 - ,四,单笔融资、融券交易到期日为非交易日的～该到期日顺延至下一交易日。 ,五,证券终止上市的融券期限:客户融券卖出的证券公告终止上市的～该笔融券交易到期日提前到终止公告发布之日后第二个交易日。 ,六,证券发生要约收购的融券期限:客户融券卖出的证券发生要约收购的～该笔融券到期日提前到该证券的预受要约截止日前第五个交易日。 第十六条 客户到期不能足额偿还本金,证券,、利息,费用,、权益补偿金～或在定期扣收日资金余额不足时～公司将对客户逾期的本金,证券,、利息,费用,、权益补偿金、额度承诺费等收取罚息～罚息率按每日万分之五计算。 第五章 附则 第十七条 本管理细则由融资融券业务管理总部负责修订、解释。 第十八条 本管理细则自下发之日起执行。 n innovationmeeting of the Office of the municipal government reports oroots leadership services, service, quality and level of services for the masses to push to a new level. 2003 annual summary -lose contact, strengthen coordination, collaboration, efforts for grassose, give full play to staff aides, integrated and coordinated implementation, supervision, service functions, cHope the city's system of Government Office around the overall situation, pay attention to implementation of work in the purp responsibility. ly resist the erosion of various corruption and selfs, Government Office work task is glorious, a great serving, and always maintain and carry forward the fine style of hard work, thrift and career, be honest and upright. Comrade-ehalf of the Office for personal affairs, not banner of leading organs of selfdiscipline, integrity, do not take leadership on b-Adhere to the "Ning public and poverty, is not private and rich" old adage, bearing in mind the purpose of serving, conscious hard work, honest style. the responsibility, serious and responsible, meticulous, careful to do everything to ensure that globalSmoothly. To carry forward or reception, may affect the image of a place and unit. Therefore, the Office staff with a high degree of professionalism andtly pomeetings disrupted the entire, feedback on the content and timing a bit negligent, it could work in a passive position, slighiculous, detailed style. In the Office is no small matter. Business services a small mistake, it is possible to order at its the metImplementation to grab at the front, the maximum possible for jobs initiative to achieve efficient service. To carry forward and other bad habits. - 5 -