為深入貫徹中央金融工作會精神，零容忍全面加強金融監管，證監中處堅持監管“長牙帶刺”，持執近日，法集法炒我會組織稽查執法、理多日常監管力量集中查辦了招商證券多名從業人員買賣股票等違法違規行為。業人員違百姓彩票最新網址依托刑事追責、零容忍行政處罰、證監中處行政監管措施、持執內部問責進行立體化懲戒。法集法炒一是理多對63人作出行政處罰，合計罰沒8173萬元，業人員違對1人作出終身證券市場禁入措施。零容忍二是證監中處將1人涉嫌內幕交易行為移送司法機關處理。三是持執對46人采取行政監管措施，其中擬對3人采取認定為不適當人選，對5人采取監管談話、38人采取出具警示函。四是百姓彩票對(dui)負有從業人(ren)員(yuan)管理責任的(de)招商(shang)證券，采取責令增加合規(gui)(gui)檢(jian)查次(ci)數的(de)行政監管措施(shi)，對(dui)公(gong)司董事(shi)長采取出具警示函、2名(ming)時任合規(gui)(gui)總(zong)監采取監管談(tan)話(hua)的(de)行政監管措施(shi)，并督促招商(shang)證券啟動內部(bu)問責，約談(tan)相關違(wei)規(gui)(gui)人(ren)員(yuan)，落實問責全覆蓋。

證券從業人員不得買賣股票是《證券法》的基本要求。近年來，我會嚴厲打擊證券從業人員違規買賣股票行為。2019年至2023年，共查辦67起從業人員違法炒股案件，對139人作出行政處罰，著力構筑“不敢、不能、不想”違規炒股的長效機制。下一步，我會將堅持系統思維、舉一反三，百姓彩票網持(chi)(chi)續強(qiang)化(hua)(hua)機(ji)(ji)(ji)構監(jian)(jian)管(guan)(guan)(guan)、行(xing)(xing)(xing)(xing)(xing)為(wei)監(jian)(jian)管(guan)(guan)(guan)、功(gong)能監(jian)(jian)管(guan)(guan)(guan)、穿透式監(jian)(jian)管(guan)(guan)(guan)、持(chi)(chi)續監(jian)(jian)管(guan)(guan)(guan)，協同(tong)行(xing)(xing)(xing)(xing)(xing)業(ye)協會持(chi)(chi)續深(shen)入開(kai)展(zhan)以下工作：一(yi)是(shi)完(wan)善(shan)制(zhi)(zhi)度(du)(du)(du)機(ji)(ji)(ji)制(zhi)(zhi)。制(zhi)(zhi)定依法從(cong)(cong)嚴(yan)打擊證(zheng)券(quan)從(cong)(cong)業(ye)人(ren)(ren)(ren)員違規(gui)(gui)(gui)(gui)炒股行(xing)(xing)(xing)(xing)(xing)為(wei)的(de)(de)專(zhuan)項整治工作方案(an)，壓實(shi)機(ji)(ji)(ji)構主體(ti)責任(ren)，督(du)促(cu)證(zheng)券(quan)公(gong)司強(qiang)化(hua)(hua)內(nei)部監(jian)(jian)測(ce)、自查自糾(jiu)及問責機(ji)(ji)(ji)制(zhi)(zhi)，落實(shi)全(quan)員合規(gui)(gui)(gui)(gui)管(guan)(guan)(guan)理(li)(li)，實(shi)現對各分(fen)支(zhi)機(ji)(ji)(ji)構及從(cong)(cong)業(ye)人(ren)(ren)(ren)員的(de)(de)一(yi)體(ti)化(hua)(hua)垂直(zhi)管(guan)(guan)(guan)理(li)(li)，各證(zheng)監(jian)(jian)局將開(kai)展(zhan)專(zhuan)項現場檢查。完(wan)善(shan)從(cong)(cong)業(ye)人(ren)(ren)(ren)員投資行(xing)(xing)(xing)(xing)(xing)為(wei)管(guan)(guan)(guan)理(li)(li)規(gui)(gui)(gui)(gui)則，督(du)促(cu)機(ji)(ji)(ji)構健全(quan)投資申報、審查、監(jian)(jian)控(kong)、懲戒(jie)(jie)等內(nei)控(kong)制(zhi)(zhi)度(du)(du)(du)，完(wan)善(shan)投資行(xing)(xing)(xing)(xing)(xing)為(wei)管(guan)(guan)(guan)理(li)(li)機(ji)(ji)(ji)制(zhi)(zhi)，進一(yi)步堵塞(sai)證(zheng)券(quan)從(cong)(cong)業(ye)人(ren)(ren)(ren)員監(jian)(jian)管(guan)(guan)(guan)制(zhi)(zhi)度(du)(du)(du)及執(zhi)行(xing)(xing)(xing)(xing)(xing)中(zhong)的(de)(de)漏洞。二(er)是(shi)強(qiang)化(hua)(hua)監(jian)(jian)管(guan)(guan)(guan)執(zhi)法。對違規(gui)(gui)(gui)(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)“露頭就打”，對管(guan)(guan)(guan)控(kong)不力的(de)(de)機(ji)(ji)(ji)構從(cong)(cong)嚴(yan)問責，對違規(gui)(gui)(gui)(gui)人(ren)(ren)(ren)員強(qiang)化(hua)(hua)立體(ti)化(hua)(hua)懲戒(jie)(jie)體(ti)系(xi)，構建“一(yi)處違規(gui)(gui)(gui)(gui)、處處受限”的(de)(de)懲戒(jie)(jie)機(ji)(ji)(ji)制(zhi)(zhi)，加(jia)(jia)強(qiang)違規(gui)(gui)(gui)(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)的(de)(de)通報警示(shi)，開(kai)展(zhan)專(zhuan)項治理(li)(li)行(xing)(xing)(xing)(xing)(xing)動。三是(shi)持(chi)(chi)續凈化(hua)(hua)行(xing)(xing)(xing)(xing)(xing)業(ye)生態(tai)。堅(jian)持(chi)(chi)“兩個結合”，深(shen)入開(kai)展(zhan)行(xing)(xing)(xing)(xing)(xing)業(ye)文化(hua)(hua)建設綜(zong)合治理(li)(li)，督(du)促(cu)機(ji)(ji)(ji)構切實(shi)做到“不逾越底(di)線、不唯利(li)(li)(li)是(shi)圖、不急功(gong)近(jin)利(li)(li)(li)、不脫實(shi)向虛(xu)、不胡作非為(wei)”，堅(jian)持(chi)(chi)誠(cheng)實(shi)守(shou)信、以義取(qu)利(li)(li)(li)、穩健審慎、守(shou)正創新、依法合規(gui)(gui)(gui)(gui)。完(wan)善(shan)從(cong)(cong)業(ye)人(ren)(ren)(ren)員執(zhi)業(ye)行(xing)(xing)(xing)(xing)(xing)為(wei)基本(ben)規(gui)(gui)(gui)(gui)范和操守(shou)準則，建立健全(quan)從(cong)(cong)業(ye)人(ren)(ren)(ren)員分(fen)類名單制(zhi)(zhi)度(du)(du)(du)和執(zhi)業(ye)聲譽管(guan)(guan)(guan)理(li)(li)機(ji)(ji)(ji)制(zhi)(zhi)，加(jia)(jia)快形成從(cong)(cong)業(ye)人(ren)(ren)(ren)員管(guan)(guan)(guan)理(li)(li)“嚴(yan)”的(de)(de)氛圍(wei)。

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證監會堅持“零容忍”執法，集中處理多名從業人員違法炒股

為深入(ru)貫(guan)徹中(zhong)央金融(rong)工作會精神，全面加強金融(rong)監管(guan)，堅持監管(guan)“長牙帶刺”，近日，我會組織(zhi)稽查(cha)執法(fa)(fa)、日常監管(guan)力量集(ji)中(zhong)查(cha)辦了招商(shang)證券(quan)(quan)多名(ming)從(cong)業人(ren)員買(mai)賣股票等(deng)違法(fa)(fa)違規行(xing)(xing)(xing)(xing)為。依托刑事(shi)追責(ze)、行(xing)(xing)(xing)(xing)政處(chu)(chu)罰(fa)、行(xing)(xing)(xing)(xing)政監管(guan)措(cuo)施(shi)、內(nei)部問(wen)責(ze)進(jin)行(xing)(xing)(xing)(xing)立體化懲(cheng)戒(jie)。一是對(dui)63人(ren)作出(chu)行(xing)(xing)(xing)(xing)政處(chu)(chu)罰(fa)，合(he)(he)(he)計罰(fa)沒8173萬元，對(dui)1人(ren)作出(chu)終身(shen)證券(quan)(quan)市場禁(jin)入(ru)措(cuo)施(shi)。二是將(jiang)1人(ren)涉(she)嫌(xian)內(nei)幕交易行(xing)(xing)(xing)(xing)為移送司(si)法(fa)(fa)機關(guan)處(chu)(chu)理。三是對(dui)46人(ren)采(cai)取(qu)(qu)行(xing)(xing)(xing)(xing)政監管(guan)措(cuo)施(shi)，其(qi)中(zhong)擬對(dui)3人(ren)采(cai)取(qu)(qu)認定為不適(shi)當(dang)人(ren)選，對(dui)5人(ren)采(cai)取(qu)(qu)監管(guan)談(tan)話(hua)、38人(ren)采(cai)取(qu)(qu)出(chu)具警示(shi)函。四(si)是對(dui)負有從(cong)業人(ren)員管(guan)理責(ze)任的(de)招商(shang)證券(quan)(quan)，采(cai)取(qu)(qu)責(ze)令(ling)增加合(he)(he)(he)規檢查(cha)次數的(de)行(xing)(xing)(xing)(xing)政監管(guan)措(cuo)施(shi)，對(dui)公司(si)董事(shi)長采(cai)取(qu)(qu)出(chu)具警示(shi)函、2名(ming)時任合(he)(he)(he)規總監采(cai)取(qu)(qu)監管(guan)談(tan)話(hua)的(de)行(xing)(xing)(xing)(xing)政監管(guan)措(cuo)施(shi)，并督(du)促招商(shang)證券(quan)(quan)啟動內(nei)部問(wen)責(ze)，約(yue)談(tan)相(xiang)關(guan)違規人(ren)員，落實(shi)問(wen)責(ze)全覆(fu)蓋。

證(zheng)券(quan)(quan)從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)不(bu)(bu)得買(mai)(mai)賣股(gu)票是(shi)(shi)《證(zheng)券(quan)(quan)法(fa)(fa)》的(de)基本要(yao)求。近年來，我會嚴厲打(da)擊證(zheng)券(quan)(quan)從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)違規(gui)(gui)(gui)買(mai)(mai)賣股(gu)票行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)。2019年至2023年，共查辦(ban)67起從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)違法(fa)(fa)炒股(gu)案(an)件，對(dui)139人(ren)作出(chu)行(xing)(xing)(xing)(xing)(xing)政處(chu)罰，著力(li)構筑“不(bu)(bu)敢、不(bu)(bu)能、不(bu)(bu)想”違規(gui)(gui)(gui)炒股(gu)的(de)長效機(ji)(ji)(ji)(ji)制(zhi)(zhi)。下一步，我會將(jiang)堅(jian)持(chi)系(xi)統思維、舉(ju)一反三，持(chi)續(xu)強(qiang)化(hua)機(ji)(ji)(ji)(ji)構監(jian)(jian)(jian)(jian)管、行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)監(jian)(jian)(jian)(jian)管、功能監(jian)(jian)(jian)(jian)管、穿(chuan)透式監(jian)(jian)(jian)(jian)管、持(chi)續(xu)監(jian)(jian)(jian)(jian)管，協同行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)協會持(chi)續(xu)深入開展以(yi)下工作：一是(shi)(shi)完(wan)善制(zhi)(zhi)度(du)(du)機(ji)(ji)(ji)(ji)制(zhi)(zhi)。制(zhi)(zhi)定依法(fa)(fa)從(cong)(cong)(cong)嚴打(da)擊證(zheng)券(quan)(quan)從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)違規(gui)(gui)(gui)炒股(gu)行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)的(de)專(zhuan)項整治(zhi)工作方案(an)，壓(ya)實(shi)(shi)機(ji)(ji)(ji)(ji)構主體(ti)責(ze)任，督(du)促證(zheng)券(quan)(quan)公(gong)司(si)強(qiang)化(hua)內部(bu)監(jian)(jian)(jian)(jian)測、自(zi)查自(zi)糾及問(wen)責(ze)機(ji)(ji)(ji)(ji)制(zhi)(zhi)，落實(shi)(shi)全員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)合(he)(he)規(gui)(gui)(gui)管理(li)，實(shi)(shi)現對(dui)各(ge)分(fen)(fen)支機(ji)(ji)(ji)(ji)構及從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)的(de)一體(ti)化(hua)垂直管理(li)，各(ge)證(zheng)監(jian)(jian)(jian)(jian)局將(jiang)開展專(zhuan)項現場檢查。完(wan)善從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)投資行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)管理(li)規(gui)(gui)(gui)則(ze)，督(du)促機(ji)(ji)(ji)(ji)構健(jian)全投資申報、審(shen)查、監(jian)(jian)(jian)(jian)控、懲戒等內控制(zhi)(zhi)度(du)(du)，完(wan)善投資行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)管理(li)機(ji)(ji)(ji)(ji)制(zhi)(zhi)，進(jin)一步堵塞(sai)證(zheng)券(quan)(quan)從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)監(jian)(jian)(jian)(jian)管制(zhi)(zhi)度(du)(du)及執(zhi)行(xing)(xing)(xing)(xing)(xing)中的(de)漏洞。二是(shi)(shi)強(qiang)化(hua)監(jian)(jian)(jian)(jian)管執(zhi)法(fa)(fa)。對(dui)違規(gui)(gui)(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)“露頭就(jiu)打(da)”，對(dui)管控不(bu)(bu)力(li)的(de)機(ji)(ji)(ji)(ji)構從(cong)(cong)(cong)嚴問(wen)責(ze)，對(dui)違規(gui)(gui)(gui)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)強(qiang)化(hua)立(li)體(ti)化(hua)懲戒體(ti)系(xi)，構建(jian)“一處(chu)違規(gui)(gui)(gui)、處(chu)處(chu)受限”的(de)懲戒機(ji)(ji)(ji)(ji)制(zhi)(zhi)，加強(qiang)違規(gui)(gui)(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)的(de)通報警示，開展專(zhuan)項治(zhi)理(li)行(xing)(xing)(xing)(xing)(xing)動。三是(shi)(shi)持(chi)續(xu)凈(jing)化(hua)行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)生態。堅(jian)持(chi)“兩(liang)個結合(he)(he)”，深入開展行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)文化(hua)建(jian)設綜合(he)(he)治(zhi)理(li)，督(du)促機(ji)(ji)(ji)(ji)構切實(shi)(shi)做到(dao)“不(bu)(bu)逾(yu)越底線、不(bu)(bu)唯利是(shi)(shi)圖(tu)、不(bu)(bu)急功近利、不(bu)(bu)脫實(shi)(shi)向虛、不(bu)(bu)胡作非為(wei)(wei)”，堅(jian)持(chi)誠實(shi)(shi)守信(xin)、以(yi)義取利、穩健(jian)審(shen)慎、守正創新(xin)、依法(fa)(fa)合(he)(he)規(gui)(gui)(gui)。完(wan)善從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)執(zhi)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)行(xing)(xing)(xing)(xing)(xing)為(wei)(wei)基本規(gui)(gui)(gui)范和操守準(zhun)則(ze)，建(jian)立(li)健(jian)全從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)分(fen)(fen)類名(ming)單制(zhi)(zhi)度(du)(du)和執(zhi)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)聲譽管理(li)機(ji)(ji)(ji)(ji)制(zhi)(zhi)，加快形成(cheng)從(cong)(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)人(ren)員(yuan)(yuan)(yuan)(yuan)(yuan)(yuan)管理(li)“嚴”的(de)氛圍。