Zhongxin Finance, May 31st, according to the website of the China Securities Regulatory Commission on the 31st, in order to effectively strengthen the supervision of the integrity of the securities companies, accounting firms, law firms and other intermediaries (hereinafter collectively referred to as intermediaries) and their employees under the registration system. , continue to purify the capital market ecology, and promote the punishment of financial corruption and the prevention and control of financial risks. Recently, the China Securities Regulatory Commission, the Ministry of Justice and the Ministry of Finance jointly issued the "Opinions on Strengthening the Supervision of the Incorrupt Practice of Intermediaries under the Registration System" (hereinafter referred to as the "Opinions"). ), which shall be implemented from the date of publication.
The "Opinions" pointed out that we should adhere to the problem orientation and solve outstanding problems in a targeted manner.In view of the key risk areas of honest practitioners under the registration system, targeted and detailed regulations have been made for securities companies and their practitioners. At the same time, it is clarified that accounting firms, law firms and other intermediary institutions can refer to the implementation, mainly including: establishing and improving scientific and reasonable Incentive restraint and accountability mechanism to eliminate excessive incentives and short-term incentives; strengthen the review of conflicts of interest, illegal investment, and improper shareholding; explicitly prohibit illegal exchanges, illegal intervention, transfer of interests, bribery and other typical "hunting" behaviors; Unreasonably low prices, improper promises and other unfair competition methods to solicit business, etc.(Finish)
【Editor: Cheng Chunyu】
