韩国监管：将要求单一杠杆ETF的新投资者完成模拟交易练习

华尔街见闻

Aug 13

韩国监管层持续收紧杠杆ETF投资门槛。新规要求，新投资者购买单只杠杆ETF前，必须完成至少5天、累计5小时的模拟交易，进一步提高散户参与高风险杠杆产品的门槛。

8月12日，据彭博，韩国金融服务委员会发布新规，要求新投资者在韩国交易所网站完成免费模拟交易后，方可购买单只杠杆ETF。新规将于8月19日起实施，适用于境内及境外相关投资产品。

这是韩国监管层近期连续收紧杠杆交易的又一举措。此前，监管机构已将单一个股杠杆ETF的最低现金存款要求提高至3000万韩元，并将新投资者线上培训时长延长至3小时。

交易量已大幅萎缩

监管收紧的效果已开始显现。自7月31日提高现金门槛后，单一个股杠杆ETF成交额明显降温，从7月30日的12.4万亿韩元降至8月11日的7000亿韩元，短短数个交易日跌去逾九成。

韩国监管层近年来持续通过资金门槛、投资者教育和模拟交易等方式限制散户进入高风险产品。此前，参与衍生品交易及股票卖空的个人投资者也需满足类似的模拟交易要求。

此次将模拟交易机制进一步延伸至单只杠杆ETF，意味着韩国正逐步建立针对高风险杠杆产品的投资者准入体系。在相关产品大幅波动并造成投资者巨额损失的背景下，监管层正通过提高参与成本和准入门槛，降低散户集中涌入高风险交易的风险。

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