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Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82
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  4月22日,日前上海贵酒母公司岩石股份(维权)公布了2024年年报。年报显示,公司去年实现营业收入约为2.85亿元,净利润约为-2.17亿元。而在年报第三节管理层讨论部分却出现了“大乌龙”,将原本的“2.85亿”营收写成了“2845.84亿”。

  岩石股份表示,因公司2024年度经审计的扣除非经常性损益前后的净利润低者为负值,且扣除与主营业务无关的业务收入和不具备商业实质的收入后的营业收入低于3亿元,公司股票将被实施退市风险警示。公司股票4月22日停牌一天,并于4月23日起实施退市风险警示,其股票简称由“岩石股份”变更为“*ST岩石”。(张奥)

  4月21日,监管批复显示,周伟始兴大众村镇银行首席合规官任职资格已获批,周伟系《金融机构合规管理办法》(以下简称《办法》)发布后,村镇银行体系内首位首席合规官。

  2024年12月25日,国家金融监督管理总局发布《办法》,自2025年3月1日起施行。《办法》规定,金融机构应当在机构总部设立首席合规官。

  新规实施后,城商行、股份行、金租公司、银行理财子等金融机构纷纷官宣设立首席合规官,据记者梳理,共有23位首席合规官任职资格新获批。有业内人士指出,当前村镇银行体系仍在改革化险中,合规经营非常重要,对于中小金融机构而言,可以考虑由高管兼任首席合规官。

  村镇银行首位首席合规官

  根据韶关金融监管分局发布的通知,监管已核准周伟始兴大众村镇银行首席合规官的任职资格。

  始兴大众村镇银行应要求上述核准任职资格人员严格遵守金融监管总局有关监管规定,自该行政许可决定作出之日起3个月内到任,并按要求及时报告到任情况。未在上述规定期限内到任的,批复文件失效,由决定机关办理行政许可注销手续。

  批复提到,该行应督促上述核准任职资格人员持续学习和掌握经济金融有关法律法规,牢固树立风险合规意识,熟悉任职岗位职责,忠实勤勉履职。

  记者查阅国家金融监管总局官网发现,周伟系新规发布后村镇银行体系首位官宣获批的首席合规官。

  资料显示,始兴大众村镇银行成立于2011年6月,是根据国家惠农金融战略、方针和政策,经中国人民银行和中国银行业监督管理委员会批准,专为韶关地区经济、中小微企业、“三农”和城乡居民服务的银行业金融机构。

  根据该行披露的年报,截至2023年末,始兴大众村镇银行资产总额达69920.57万元,较上年末下降0.36%,2023年净利润亏损1441.59万元,资产质量方面,2023年末,该行不良贷款率1.47%,流动性比例为50.84%,资本充足率为14.53%。“全年安全无事故,各项主要监管指标符合监管要求”报告显示。

  23位首席合规官新获批

  券商中国记者统计国家金融监管总局官网发现,近两年共有23家金融机构设立并官宣获批首席合规官。其中,银行理财子7家、商业银行3家、消金公司1家、金融租赁1家公司以及财务公司11家。

  2006年,原银监会曾发布《商业银行合规风险管理指引》,首次提及商业银行应设立“合规负责人”,并确保合规负责人的独立性。

  此外,在《办法》施行前,金融机构和其省级分支机构或者一级分支机构也已存在设置首席合规官、合规总监、合规负责人、作为高级管理人员的总法律顾问的情况。以深圳前海微众银行为例,2014年开业时,万军担任该行首席合规官及首席运营官的任职资格已获批。

  《办法》出台时,国家金融监督管理总局有关司局负责人指出,按照“新老划断”原则,在《办法》施行前已经担任合规总监、合规负责人等,履行《办法》规定的首席合规官、合规官岗位职责,在岗位调动前,不受首席合规官或合规官任职条件限制,无需重新取得任职资格许可。

  据《经济日报》报道,2023年初,时任国务院国资委副主任的翁杰明就曾表示,建立首席合规官制度,是中央企业合规管理工作的一大亮点,也是合规管理体系有效运转的关键。目前已有近七成中央企业集团和部分重要子企业设立了首席合规官。

  金融机构合规管理要求高于一般企业

  近年来,中小金融机构改革化险驶入快车道。以村镇银行为代表的农村中小金融更是重中之重,数据显示,2024年内,由于兼并重组、收购而“消失”的村镇银行超过百家。

  同时,2024年银行业机构共领取监管、央行、外汇局等派发的罚单6300余张。其中,中小金融机构为最大“领罚”群体,包括农商行、农村信用社、农村合作银行和村镇银行在内的农村中小银行机构共收到罚单3100余张,罚没金额超7亿元。

  “金融机构的特殊性质决定了其合规管理要求高于一般企业。金融机构必须坚持合规经营,培育合规文化,引导员工增强合规意识,不断提升合规经营管理水平,只有这样才能更好地保护金融消费者、股东、客户、员工等利益相关者的合法权益。”招联首席研究员、上海金融与发展实验室副主任董希淼告诉记者。

  但同时,董希淼也提醒,设立过多的高管岗位,高管团队内部分工过细,可能会增强内部沟通协调成本,特别对于中小金融机构而言,设立太多的高管岗位有可能给经营造成负担。“在《办法》中首席合规官可以兼任,建议多数中小银行由其他高管兼任首席合规官,而不用因为重视某项工作就设立专门的‘首席’”,他说。

热点栏目自选股数据中心行情中心资金流向模拟交易客户端

  康方生物(09926)早盘高开逾4%,截至发稿,股价上涨3.98%,现报86.25港元,成交额3.67亿港元

  康方生物发布公告,中国国家药品监督管理局(NMPA)已于近日批准爱达罗(依若奇单抗,IL-12/IL-23)的新药上市申请(NDA),用于治疗中度至重度斑块型银屑病成人患者。

  依若奇单抗是公司自身免疫性疾病领域首个获批上市的一类新药,也是继伊努西单抗之后公司第二个获批上市的非肿瘤新药。此次NDA获批是基于依若奇单抗针对中国中重度斑块状银屑病受试者开展的5项临床研究,其中的两项关键III期临床研究,提供了依若奇单抗在中重度斑块状银屑病患者中16周和52周有效性和安全性数据。

  作为首款且唯一国产IL-12/IL-23单抗创新药,依若奇单抗具有突出的临床疗效和优异的安全性,且给药频次少,有望为我国中度至重度银屑病患者提供一种更高效、安全、便捷且经济的治疗方案。

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