(Original title: @350,000 securities practitioners! The securities industry version of the "Personal Credit Information System" is coming, and the "secrets" of the practice will be made public...)
Nearly 350,000 securities practitioners should begin to cherish their professional reputation.
Reporters from securities companies in China have learned that recently, the Securities Association of China has drafted the "Measures for the Management of Professional Reputation Information in the Securities Industry (Draft)" (hereinafter referred to as "Practice Reputation Management").
After performing the corresponding procedures, the "Practice Reputation Management" will be officially released.
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 illegal Violations, including demotion and demotion, dismissal, termination of labor contract or entrustment contract, dismissal, dismissal, dismissal, dismissal and other internal sanction processing decisions; internal party warnings, etc.) will be recorded by the system.
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 system, as long as a peer has changed jobs, you can check the person's past performance when recruiting," an industry source told reporters.
Commendation, reward and illegal punishment information are all 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 an individual practitioner, includes personal name, gender, nationality, certificate type, certificate number, as well as the institution, department, position, registration type and number (if any), etc.
The integrity information includes commendation and reward information and illegal and dishonest information.
The commendation award information includes the commendation award name, the making unit, the making time, the commendation award category, details, and certification materials.
Specifically, it can be the commendation, reward, and appraisal decisions made by the CSRC, other competent departments of the State Council and other units at the provincial and ministerial level and above, 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; disciplinary measures implemented by securities and futures market industry organizations and management measures prescribed by laws, administrative regulations and rules; refusal to perform the securities and futures dispute mediation agreements reached.
Illegal and dishonest information also includes being sentenced to criminal punishment by a people's court for securities and futures crimes or other crimes; interfering with the supervision and law enforcement work of the China Securities Regulatory Commission and its dispatched offices by improper means, and being given administrative punishments or disciplinary sanctions; Information that has been punished, but has been identified by disciplinary inspection or administrative supervision agencies; information of dishonest persons subject to enforcement, serious financial 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 includes 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, including violations of the association's self-discipline rules but exempt from self-discipline measures; violation of commitments submitted to 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; other situations that violate public order and good customs or damage the image and reputation of the industry; securities companies make decisions on their staff that are related to securities business and violate laws and regulations or internal regulations of the company, involving demotion Demotion, dismissal, dismissal of labor contract or entrustment contract, dismissal, persuasion, dismissal, dismissal and other internal sanction handling decisions; Party members received warnings from the party and above for violating the "Chinese Communist Party's Disciplinary Measures Regulations" and other relevant integrity and disciplinary regulations Punishment, etc.
Some information inquiries require application
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 practice reputation information of other securities firms or personnel, it shall submit the inquiry application materials.
The association shall keep records of practice reputation information inquiries.
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.
It is understood that no unit or individual shall 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.
There have been different opinions on the reporting of internal reward and punishment information
It is understood that before drafting the "Practice Reputation Management" (deliberation draft), the association has solicited opinions from industry institutions and relevant departments of the CSRC, and has fully studied and absorbed the feedback.
Regarding the internal reward and punishment information submitted by securities companies, everyone fully reflected their opinions.
The Institutional Department of the China Securities Regulatory Commission believes that such information belongs to the company's internal business decision-making matters, and the standards of rewards and punishments vary greatly. It is recommended to pay attention to the risk spillover of external information, and consider the necessity of retaining such information.
Some brokerages believe that such information is not recommended due to inconsistent standards between companies, comparability and reference, and some decisions are made because the daily assessment and management of staff are not up to standard, which is not a punishment.
There are also some brokerages for the categories of reward and punishment measures, such as suggestions should be related to employment, delete penalties involving bonuses, salaries, and evaluations, and only retain serious disciplinary measures such as dismissal and dismissal, termination of labor contracts, and dismissal, or are limited to violations of laws or regulations or Violation of internal company regulations.
According to the above opinions, given that the internal reward and punishment information of the institution can also fully reflect the practice reputation, the association suggests that such information should be retained, and the scope of information should be further limited according to the reasons for the reward and punishment and the seriousness of the measures, and the standards should be unified.
First, the reasons for rewards and punishments are limited to securities-related business and violations of laws and regulations or internal regulations of the company, and the disciplinary measures are limited to demotion and demotion, dismissal, termination of labor contracts or agency contracts, dismissal, persuasion, dismissal, dismissal and other internal punishments or disposals Decide.
The second is to add a requirement that "members should report the disciplinary sanctions of the party above a warning, government sanction decisions above a warning, and other disciplinary decisions equivalent to a warning above a warning received by staff for violating the relevant integrity and disciplinary regulations."
The third is to commend and reward the information subject to increase the company's higher-level organization.
(Broker China)