廠(chang)家提供(gong)信息      不得成(cheng)(cheng)為(wei)金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)的(de)控股(gu)(gu)股(gu)(gu)東(dong)，對所(suo)投資(zi)金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)經(jing)營(ying)失敗或重大(da)違規行為(wei)負有(you)(you)(you)重大(da)責(ze)任的(de)非(fei)金(jin)(jin)(jin)融(rong)(rong)(rong)企業，在(zai)一定(ding)期限內不得再成(cheng)(cheng)為(wei)金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)的(de)控股(gu)(gu)股(gu)(gu)東(dong)。還(huan)加(jia)強(qiang)了對金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)股(gu)(gu)權質押(ya)(ya)、轉讓和拍賣的(de)管理，避免(mian)非(fei)金(jin)(jin)(jin)融(rong)(rong)(rong)企業違規惡意質押(ya)(ya)、轉讓所(suo)持有(you)(you)(you)金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)股(gu)(gu)權。“對金(jin)(jin)(jin)融(rong)(rong)(rong)牌照有(you)(you)(you)覬覦(yu)之心的(de)人很多，還(huan)有(you)(you)(you)的(de)甚至(zhi)抱著空手套白狼的(de)心態(tai)來的(de)。金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)的(de)注冊資(zi)本要求(qiu)必須是(shi)實繳(jiao)，而且是(shi)自有(you)(you)(you)資(zi)金(jin)(jin)(jin)，就有(you)(you)(you)人通過(guo)套取金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)資(zi)金(jin)(jin)(jin)，經(jing)過(guo)多個通道轉一圈(quan)又回來購買金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)股(gu)(gu)權。”嚴(yan)禁大(da)股(gu)(gu)東(dong)濫用(yong)控制權，防(fang)(fang)止金(jin)(jin)(jin)融(rong)(rong)(rong)機(ji)構(gou)淪為(wei)大(da)股(gu)(gu)東(dong)的(de)“提款機(ji)”，意見中還(huan)要求(qiu)建立“防(fang)(fang)火墻(qiang)”。

廠家      在(zai)股(gu)(gu)權(quan)架構(gou)(gou)方面(mian)，要(yao)求(qiu)“簡明、清晰”，提高組織架構(gou)(gou)透明度(du)。并且明確“企業與(yu)(yu)所控(kong)股(gu)(gu)金(jin)融(rong)機(ji)構(gou)(gou)之(zhi)間不得(de)交(jiao)叉持股(gu)(gu)”。金(jin)融(rong)機(ji)構(gou)(gou)應當建立有效的決策、監(jian)督相互(hu)制衡(heng)機(ji)制，強化董事會決策機(ji)制，避免大股(gu)(gu)東(dong)或實際控(kong)制人(ren)濫用控(kong)制權(quan)。要(yao)求(qiu)金(jin)融(rong)監(jian)督管理部門嚴格規范和監(jian)管企業與(yu)(yu)所投資金(jin)融(rong)機(ji)構(gou)(gou)之(zhi)間的關(guan)聯(lian)(lian)交(jiao)易(yi)(yi)。企業成為金(jin)融(rong)機(ji)構(gou)(gou)主要(yao)股(gu)(gu)東(dong)或控(kong)股(gu)(gu)股(gu)(gu)東(dong)時(shi)，應當向金(jin)融(rong)監(jian)督管理部門提交(jiao)與(yu)(yu)關(guan)聯(lian)(lian)方外其(qi)他股(gu)(gu)東(dong)無關(guan)聯(lian)(lian)關(guan)系、不進(jin)行不當關(guan)聯(lian)(lian)交(jiao)易(yi)(yi)的承諾函。機(ji)構(gou)(gou)應當建立有效的關(guan)聯(lian)(lian)交(jiao)易(yi)(yi)管理制度(du)，準(zhun)確識(shi)別關(guan)聯(lian)(lian)方，在(zai)資金(jin)用途(tu)、投資比例、事項(xiang)報送(song)和信息披露等方面(mian)切實依(yi)法(fa)合規。

廠(chang)家(jia)      防止利益輸(shu)送和風險(xian)轉移，嚴禁通(tong)過授信、資產購買和轉讓等(deng)方(fang)式開展不(bu)當關(guan)聯交易(yi)，不(bu)得通(tong)過多層嵌套等(deng)手(shou)段隱匿關(guan)聯交易(yi)和資金真(zhen)實(shi)去向，不(bu)得通(tong)過“抽(chou)屜協議”“陰陽合同”等(deng)形式規避監(jian)管。為了(le)防止大股東干預金融(rong)機(ji)構(gou)(gou)(gou)經(jing)(jing)營，意見中還(huan)要求，股東“不(bu)得直接或變相套取(qu)、挪用、擠占金融(rong)機(ji)構(gou)(gou)(gou)及其客戶資金”。金融(rong)機(ji)構(gou)(gou)(gou)應(ying)(ying)當堅持獨立自主經(jing)(jing)營，不(bu)受不(bu)當干預。在風險(xian)防范方(fang)面，控股股東應(ying)(ying)當建(jian)立健全實(shi)業板塊與金融(rong)板塊的法人(ren)、人(ren)員等(deng)相互隔(ge)離的“防火(huo)墻”制度。有(you)效規范企業與金融(rong)機(ji)構(gou)(gou)(gou)之(zhi)間(jian)的業務往來、共(gong)(gong)同營銷、信息共(gong)(gong)享，以(yi)及共(gong)(gong)用營業設施(shi)、營業場所(suo)和操(cao)作系統等(deng)行(xing)為。