A system for recording personal career events of securities practitioners is expected to be "online".

  The Securities Times reporter was exclusively informed that recently, the Securities Association of China has drafted the "Administrative Measures for Practice Reputation Information in the Securities Industry (Draft)" (hereinafter referred to as "Practice Reputation Management"), which will be officially released after the corresponding procedures are performed.

  According to the "Practice Reputation Management", the basic information, reward information, illegal and untrustworthy information of all securities practitioners, other positive information (outstanding performance in cultural construction; actively fulfilling social responsibilities, etc.), other negative information (related to securities business and Violations of laws and regulations, involving demotion, dismissal, termination of labor contract or entrustment contract, dismissal, persuasion, dismissal, dismissal and other internal sanction processing decisions; internal party warnings, etc.) will be recorded by the system.

According to data from the Securities Association of China, there are currently about 350,000 employees in the securities industry.

  It is understood that this move is to further establish and improve the practice reputation management mechanism of the securities industry, strengthen the self-discipline and reputation constraints on industry entities, and give full play to the role of the market-oriented constraint mechanism.

  "With this 'credit information system', as long as a peer has changed jobs, you can check the person's past performance when recruiting." A person in the industry told the Securities Times reporter.

  Rewards and punishments are recorded

  According to the "Practice Reputation Management", the practice reputation information includes basic information, integrity information, and other practice reputation information.

  The so-called basic information, for individual practitioners, includes name, gender, nationality, certificate type, certificate number, as well as the institution, department, position, registration type and number (if any), etc.

  Integrity information includes commendation and reward information and illegal and dishonest information.

  The commendation award information mainly includes the commendation award name, the making unit, the making time, the commendation award category, the details, the certification materials, etc.

Specifically, it can be the commendation, reward, and evaluation decision made by the CSRC, other competent departments of the State Council and other provincial and ministerial-level units and national securities and futures market industry organizations.

  Illegal and untrustworthy information includes administrative penalties, market entry prohibition decisions, and supervisory and management measures made by the CSRC and its dispatched offices; Administrative penalties imposed; disciplinary measures implemented by securities and futures market industry organizations and management measures stipulated by laws, administrative regulations and rules; refusal to perform the securities and futures dispute mediation agreements that have been reached, etc.

  In addition, illegal and untrustworthy information also includes criminal penalties imposed by people’s courts for securities and futures crimes or other crimes; administrative punishments and disciplinary sanctions imposed on the CSRC and its dispatched offices for interfering with the supervision and law enforcement work of the CSRC and its local offices by improper means; Information that has been punished, but has been identified by disciplinary inspection or administrative supervision agencies; information of dishonest persons subject to execution, and financial-related serious dishonesty; self-discipline management measures made by associations, etc.

  Other practice reputation information, including other positive information and other negative information.

  Other positive information, specifically including those who participated in the work of various professional committees of the association and performed outstandingly or achieved remarkable results; those who participated in the special research, report writing, and textbook compilation organized by the association and who performed outstandingly or achieved remarkable results; those whose practice evaluation results were grade A; Those who have performed outstandingly or achieved remarkable results in the construction of industry culture; those who actively fulfilled their social responsibilities; those who actively participated in the guidance of industry public opinion; those who made awards and commendation decisions related to the securities business made by securities firms (company headquarters and above) to their staff.

  Other negative information includes violations of the association's self-discipline rules but exempt from self-discipline measures; violation of commitments submitted by the association, or failure to cooperate with the association's investigations and inspections; non-penalty information collected during the practice evaluation process that has a negative impact; violations of Public order and good morals or other circumstances that damage the image and reputation of the industry; securities companies do to their staff, which are related to securities business and violate laws and regulations or violate the company's internal regulations, involving demotion, dismissal, dismissal of labor contracts or entrustment contracts, dismissal, persuasion Decisions on internal sanctions such as dismissal, dismissal, and dismissal; internal party warnings and above-mentioned disciplinary sanctions received by party members for violating the "Chinese Communist Party Disciplinary Action Regulations" and other relevant integrity and disciplinary regulations.

  Query some information need to apply

  It is understood that practice reputation information is divided into public information and limited public information according to its nature.

  Any institution or individual can inquire about public information through the association's website.

In principle, the disciplinary action and written decision on self-discipline management measures made by the association are disclosed in the integrity information section of the association website.

The basic information of the objects of self-discipline management, the organization and quantity of commendation and reward information and illegal and untrustworthy information, and the types of other positive and negative information, and the organization and quantity that made or identified, are in principle disclosed in the information publicity section of the association's website.

  Practice reputation information other than public information is limited public information.

Eligible institutions or individuals may apply to inquire about limited public information.

  Brokers can directly inquire about the professional reputation information of the institution and its staff.

Practitioners can directly inquire about their professional reputation information.

If a securities firm intends to inquire about the professional reputation information of other securities firm personnel, it shall submit the inquiry application materials.

  The association shall keep records of practice reputation information inquiry.

The inquiry record includes the inquiry subject, inquiry object, inquiry content, inquiry reason, inquiry purpose, inquiry time, etc. of practice reputation information.

The query record is kept for 10 years from the date when the record is generated.

  In addition, any unit or individual shall not use, disclose or provide others to use, use, process or process professional reputation information beyond the purpose of inquiry, and shall not use relevant information for illegal purposes.

Keywords: