| Order of the China Securities Regulatory Commission | | 中国证券监督管理委员会令 |
| (No. 145) | | （第145号） |
| The Provisions on the Professional Integrity of Securities and Futures Business Institutions and Their Employees, as deliberated and adopted at the 3rd chairman's executive meeting of the China Securities Regulatory Commission (“CSRC”) on May 2, 2018, are hereby issued, and shall come into force on the date of issuance. | | 《证券期货经营机构及其工作人员廉洁从业规定》已经2018年5月2日中国证券监督管理委员会2018年第3次主席办公会会议审议通过，现予公布，自公布之日起施行。 |
| Chairman of the China Securities Regulatory Commission: Liu Shiyu | | 中国证券监督管理委员会主席：刘士余 |
| June 27, 2018 | | 2018年6月27日 |
| Provisions on the Professional Integrity of Securities and Futures Business Institutions and Their Employees | | 证券期货经营机构及其工作人员廉洁从业规定 |
| Article 1 For the purposes of promoting the sound development of the capital market, purifying the ecological environment of the capital market, protecting the lawful rights and interests of investors, and effectively strengthening the supervision and administration of the professional integrity of securities and futures business institutions and their employees, these Provisions are developed in accordance with the Securities Law, the Securities Investment Fund Law, the Regulation on the Supervision and Administration of Securities Companies, the Regulation on the Administration of Futures Trading and other laws and regulations. | | 第一条 为促进资本市场健康发展，净化资本市场生态环境，保护投资者合法权益，切实加强对证券期货经营机构及其工作人员廉洁从业的监督管理，根据《证券法》《证券投资基金法》《证券公司监督管理条例》《期货交易管理条例》等法律法规，制定本规定。 |
| Article 2 For the purposes of these Provisions, “professional integrity” means that a securities and futures business institution and its employees strictly comply with laws and regulations, the CSRC provisions and industry self-regulatory rules, observe social morality, business ethics, professional ethics and codes of conduct, compete in a fair manner, operate in compliance with regulations, be faithful and diligent, have good faith, and do not directly or indirectly transfer illicit benefits to any other person or seek illicit benefits when conducting the securities and futures business and relevant activities. | | 第二条 本规定所称廉洁从业，是指证券期货经营机构及其工作人员在开展证券期货业务及相关活动中，严格遵守法律法规、中国证监会的规定和行业自律规则，遵守社会公德、商业道德、职业道德和行为规范，公平竞争，合规经营，忠实勤勉，诚实守信，不直接或者间接向他人输送不正当利益或者谋取不正当利益。 |
| Article 3 The CSRC shall strengthen the supervision and administration of the professional integrity of securities and futures business institutions and their employees. | | 第三条 中国证监会应当加强对证券期货经营机构及其工作人员廉洁从业的监督管理。 |
| The Securities Association of China, the China Futures Association, the Asset Management Association of China and other self-regulatory organizations shall conduct self-regulatory management of the professional integrity of securities and futures business institutions and their employees in accordance with their bylaws and relevant self-regulatory rules. | | 中国证券业协会、中国期货业协会、中国证券投资基金业协会等自律组织依据章程、相关自律规则对证券期货经营机构及其工作人员进行廉洁从业的自律管理。 |
| Article 4 A securities and futures business institution shall undertake the primary responsibility for the prevention and control of professional integrity risks. | | 第四条 证券期货经营机构承担廉洁从业风险防控主体责任。 |
| The board of directors of the securities and futures business institution shall decide on the professional integrity management objectives, and assume responsibility for the effectiveness of professional integrity management. | | 证券期货经营机构董事会决定廉洁从业管理目标，对廉洁从业管理的有效性承担责任。 |
| The principal person-in-charge of the securities and futures business institution shall be the primary person responsible for performing the professional integrity management functions, and the persons-in-charge at all levels shall assume corresponding management responsibilities within the scope of their functions. | | 证券期货经营机构主要负责人是落实廉洁从业管理职责的第一责任人，各级负责人在职责范围内承担相应管理责任。 |
| Article 5 A securities and futures business institution shall designate a special department to oversee and inspect the professional integrity of the institution and its employees, maximize the joint force of the disciplinary inspection and supervision, regulatory compliance, audit and other departments, promptly handle any problem discovered, and report major circumstances in a timely manner. | | 第五条 证券期货经营机构应当指定专门部门对本机构及其工作人员的廉洁从业情况进行监督、检查，充分发挥纪检监察、合规、审计等部门的合力，发现问题及时处理，重大情况及时报告。 |
| Article 6 A securities and futures business institution shall establish and improve the rules for the internal control of professional integrity, develop specific and effective advance risk prevention systems, interim management and control measures and ex-post accountability mechanisms, conduct scientific and systematic professional integrity risk assessment of the types and links of the business conducted by it and relevant work, identify the risk points for professional integrity, and strengthen the post checks and balances and the internal supervision mechanism and guarantee its effective operation. | | 第六条 证券期货经营机构应当建立健全廉洁从业内部控制制度，制定具体、有效的事前风险防范体系、事中管控措施和事后追责机制，对所从事的业务种类、环节及相关工作进行科学、系统的廉洁风险评估，识别廉洁从业风险点，强化岗位制衡与内部监督机制并确保运作有效。 |
| The “types and links of the business” as mentioned in the preceding paragraph shall include business undertaking, acceptance, sale, trading, settlement, delivery, investment, procurement, business cooperation, employment of personnel, application for administrative licensing, acceptance of supervision and law enforcement, and self-regulatory management, among others. | | 前款规定的业务种类、环节包括业务承揽、承做、销售、交易、结算、交割、投资、采购、商业合作、人员招聘，以及申请行政许可、接受监管执法和自律管理等。 |
| Article 7 A securities and futures business institution shall develop rules for the professional integrity of employees, specify the requirements for professional integrity, strengthen the professional integrity training and education of employees, and cultivate a professional integrity culture. | | 第七条 证券期货经营机构应当制定工作人员廉洁从业规范，明确廉洁从业要求，加强从业人员廉洁培训和教育，培育廉洁从业文化。 |
| The securities and futures business institution shall include the professional integrity of its employees in the employee management system, and in the event of employment, promotion, dismissal, assessment, audit or any other circumstance of an employee, review and assess his or her professional integrity | | 证券期货经营机构应当将工作人员廉洁从业纳入工作人员管理体系，在遇有人员聘用、晋级、提拔、离职以及考核、审计、稽核等情形时，对其廉洁从业情况予以考察评估。 |
| Article 8 A securities and futures business institution shall strengthen financial discipline and eradicate irregular acts such as setting up off-the-books accounts. It shall develop specific internal decision-making procedures and specific standards for the expenses and expenditures incurred in business activities, and ensure that the relevant expenses and expenditures comply with laws and regulations. | | 第八条 证券期货经营机构应当强化财经纪律，杜绝账外账等不规范行为。对于业务活动中产生的费用支出制定明确的内部决策流程和具体标准，确保相关费用支出合法合规。 |
| Article 9 A securities and futures business institution or any of its employees shall not, in conducting the securities and futures business and the relevant activities, transfer any illicit benefit to any public official, client, potential client under negotiation or any other party of interest by any of the following means: | | 第九条 证券期货经营机构及其工作人员在开展证券期货业务及相关活动中，不得以下列方式向公职人员、客户、正在洽谈的潜在客户或者其他利益关系人输送不正当利益： |
| (1) Providing such property as monetary gift, gift, real estate, car, negotiable securities, equity and commission, or providing holding on a commission basis and other conveniences for the aforesaid acts. | | （一）提供礼金、礼品、房产、汽车、有价证券、股权、佣金返还等财物，或者为上述行为提供代持等便利； |
| (2) Providing travel, treat, recreation and fitness, arrangements for employment and other benefits. | | （二）提供旅游、宴请、娱乐健身、工作安排等利益； |
| (3) Arranging any structural, high yield, and principal guarantee wealth management product or any other transaction which evidently deviates from the fair price. | | （三）安排显著偏离公允价格的结构化、高收益、保本理财产品等交易； |
| (4) Directly or indirectly providing any insider information, undisclosed information, trade secret or client information to any other person, or explicitly or implicitly instructing any other person to conduct the relevant trading activities. | | （四）直接或者间接向他人提供内幕信息、未公开信息、商业秘密和客户信息，明示或者暗示他人从事相关交易活动； |
| (5) Any other circumstance where illicit benefit is transferred. | | （五）其他输送不正当利益的情形。 |
The provisions of the preceding paragraph shall not apply to securities and futures business institutions and their employees that legally conduct rational marketing in accordance with the internal provisions and qualified standards formulated by securities and futures business institutions in accordance with the law.
．．．．．． | | 证券期货经营机构及其工作人员按照证券期货经营机构依法制定的内部规定及限定标准，依法合理营销的，不适用前款规定。
．．．．．． |
|
Dear visitor, as a premium member of this database, you will get complete access to all content.Please go premium and get more.
1. To become a premium member, please call 400-810-8266 Ext. 171.
2. Binding to the account with access to this database.
3. Apply for a trial account.
4. To get instant access to a document, you can Pay Amount 【￥500.00】 for your single purchase. | |
您好：您现在要进入的是北大法宝英文库会员专区。
如您是我们英文用户可直接 登录，进入会员专区查询您所需要的信息；如您还不是我们 的英文用户；您可通过网上支付进行单篇购买，支付成功后即可立即查看本篇内容。
Tel: +86 (10) 82689699, +86 (10) 82668266 ext. 153
Mobile: +86 13311570713
Fax: +86 (10) 82668268
E-mail:info@chinalawinfo.com
|
| | | |
| | | |