為深入貫徹中央金融工作會精神，證監中處全面加強金融監管，理多堅持(chi)監(jian)管(guan)“長牙帶刺”，業(ye)人員(yuan)違(wei)近日，法炒我(wo)會(hui)組織稽查(cha)執法、證監(jian)中處(chu)日常監(jian)管(guan)力(li)量集中查(cha)辦了招商(shang)證券多名從(cong)業(ye)人員(yuan)買(mai)賣股票等違(wei)法違(wei)規(gui)行為。理(li)多依托刑事(shi)追責、業(ye)人員(yuan)違(wei)行政處(chu)罰、法炒行政監(jian)管(guan)措施、證監(jian)中處(chu)內部問責進行立體化懲戒(jie)。理(li)多

一是(shi)業人員違對63人作出行政處(chu)罰，合(he)計罰沒8173萬元，對1人作出終身證券(quan)市場禁入措施。

二是將1人涉嫌內幕交易行(xing)為移送司法機關處理。

三是對(dui)46人(ren)(ren)采(cai)取(qu)行(xing)政監(jian)管措(cuo)施，其中擬對(dui)3人(ren)(ren)采(cai)取(qu)認定為不適當(dang)人(ren)(ren)選，對(dui)5人(ren)(ren)采(cai)取(qu)監(jian)管談話(hua)、38人(ren)(ren)采(cai)取(qu)出(chu)具警示函。

四是對負有從業人員管理責任的招商證券，采取責令增加合規檢查次數的行政監管措施，對公司董事長采取出具警示函、2名時任合規總監采取監管談話的行政監管措施，并督促招商證券啟動內部問責，約談相關違規人員，落實問責全覆蓋。

證券(quan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)不(bu)(bu)(bu)得(de)買(mai)(mai)賣股(gu)票是(shi)《證券(quan)法》的(de)(de)基本要求。近(jin)年來，我(wo)會嚴厲打擊證券(quan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)違(wei)規(gui)買(mai)(mai)賣股(gu)票行(xing)(xing)(xing)(xing)(xing)為(wei)。2019年至(zhi)2023年，共(gong)查(cha)辦67起從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)違(wei)法炒股(gu)案(an)件，對(dui)139人(ren)(ren)(ren)作(zuo)出行(xing)(xing)(xing)(xing)(xing)政處罰，著力構(gou)筑“不(bu)(bu)(bu)敢、不(bu)(bu)(bu)能、不(bu)(bu)(bu)想”違(wei)規(gui)炒股(gu)的(de)(de)長效(xiao)機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)。下(xia)一(yi)(yi)(yi)(yi)步(bu)，我(wo)會將堅持(chi)(chi)系統思維(wei)、舉一(yi)(yi)(yi)(yi)反三，持(chi)(chi)續(xu)強(qiang)(qiang)化機(ji)(ji)(ji)(ji)(ji)構(gou)監(jian)(jian)(jian)(jian)管(guan)(guan)、行(xing)(xing)(xing)(xing)(xing)為(wei)監(jian)(jian)(jian)(jian)管(guan)(guan)、功能監(jian)(jian)(jian)(jian)管(guan)(guan)、穿透(tou)式監(jian)(jian)(jian)(jian)管(guan)(guan)、持(chi)(chi)續(xu)監(jian)(jian)(jian)(jian)管(guan)(guan)，協同(tong)行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)協會持(chi)(chi)續(xu)深入開展(zhan)以(yi)下(xia)工(gong)(gong)作(zuo)：一(yi)(yi)(yi)(yi)是(shi)完善(shan)制(zhi)(zhi)度機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)。制(zhi)(zhi)定依法從(cong)(cong)(cong)嚴打擊證券(quan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)違(wei)規(gui)炒股(gu)行(xing)(xing)(xing)(xing)(xing)為(wei)的(de)(de)專項整治(zhi)工(gong)(gong)作(zuo)方案(an)，壓實機(ji)(ji)(ji)(ji)(ji)構(gou)主體(ti)責任，督促(cu)證券(quan)公司強(qiang)(qiang)化內(nei)部(bu)監(jian)(jian)(jian)(jian)測、自查(cha)自糾及問(wen)責機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)，落實全員(yuan)(yuan)(yuan)(yuan)合(he)規(gui)管(guan)(guan)理，實現對(dui)各分支機(ji)(ji)(ji)(ji)(ji)構(gou)及從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)的(de)(de)一(yi)(yi)(yi)(yi)體(ti)化垂直(zhi)管(guan)(guan)理，各證監(jian)(jian)(jian)(jian)局(ju)將開展(zhan)專項現場檢查(cha)。完善(shan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)投資(zi)行(xing)(xing)(xing)(xing)(xing)為(wei)管(guan)(guan)理規(gui)則，督促(cu)機(ji)(ji)(ji)(ji)(ji)構(gou)健全投資(zi)申報(bao)、審查(cha)、監(jian)(jian)(jian)(jian)控(kong)(kong)、懲(cheng)戒(jie)(jie)等內(nei)控(kong)(kong)制(zhi)(zhi)度，完善(shan)投資(zi)行(xing)(xing)(xing)(xing)(xing)為(wei)管(guan)(guan)理機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)，進一(yi)(yi)(yi)(yi)步(bu)堵(du)塞證券(quan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)監(jian)(jian)(jian)(jian)管(guan)(guan)制(zhi)(zhi)度及執行(xing)(xing)(xing)(xing)(xing)中的(de)(de)漏洞。二是(shi)強(qiang)(qiang)化監(jian)(jian)(jian)(jian)管(guan)(guan)執法。對(dui)違(wei)規(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)“露頭就打”，對(dui)管(guan)(guan)控(kong)(kong)不(bu)(bu)(bu)力的(de)(de)機(ji)(ji)(ji)(ji)(ji)構(gou)從(cong)(cong)(cong)嚴問(wen)責，對(dui)違(wei)規(gui)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)強(qiang)(qiang)化立(li)(li)體(ti)化懲(cheng)戒(jie)(jie)體(ti)系，構(gou)建(jian)(jian)“一(yi)(yi)(yi)(yi)處違(wei)規(gui)、處處受(shou)限”的(de)(de)懲(cheng)戒(jie)(jie)機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)，加(jia)強(qiang)(qiang)違(wei)規(gui)行(xing)(xing)(xing)(xing)(xing)為(wei)的(de)(de)通報(bao)警示，開展(zhan)專項治(zhi)理行(xing)(xing)(xing)(xing)(xing)動。三是(shi)持(chi)(chi)續(xu)凈化行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)生態。堅持(chi)(chi)“兩個(ge)結合(he)”，深入開展(zhan)行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)文化建(jian)(jian)設(she)綜合(he)治(zhi)理，督促(cu)機(ji)(ji)(ji)(ji)(ji)構(gou)切實做到(dao)“不(bu)(bu)(bu)逾越(yue)底線、不(bu)(bu)(bu)唯(wei)利(li)(li)是(shi)圖、不(bu)(bu)(bu)急功近(jin)利(li)(li)、不(bu)(bu)(bu)脫(tuo)實向(xiang)虛、不(bu)(bu)(bu)胡作(zuo)非為(wei)”，堅持(chi)(chi)誠(cheng)實守(shou)信、以(yi)義取利(li)(li)、穩健審慎、守(shou)正創(chuang)新、依法合(he)規(gui)。完善(shan)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)執業(ye)(ye)行(xing)(xing)(xing)(xing)(xing)為(wei)基本規(gui)范和(he)操守(shou)準則，建(jian)(jian)立(li)(li)健全從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)分類名單制(zhi)(zhi)度和(he)執業(ye)(ye)聲譽管(guan)(guan)理機(ji)(ji)(ji)(ji)(ji)制(zhi)(zhi)，加(jia)快形成(cheng)從(cong)(cong)(cong)業(ye)(ye)人(ren)(ren)(ren)員(yuan)(yuan)(yuan)(yuan)管(guan)(guan)理“嚴”的(de)(de)氛圍。