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中證監:堅持「零容忍」執法 處理多名從業人員違法炒股
阿思達克 02-09 11:21
中國證監會表示,近日組織稽查執法、日常監管力量集中查辦招商証券多名從業人員買賣股票等違法違規行為。對63人作出行政處罰,合計罰沒8,173萬元人民幣,對一人作出終身證券市場禁入措施。對負有從業人員管理責任的招商証券,採取責令增加合規檢查次數的行政監管措施,對公司董事長採取出具警示函、兩名時任合規總監採取監管談話的行政監管措施,並督促招商証券啟動內部問責,約談相關違規人員,落實問責全覆蓋等。 下一步,將堅持系統思維、舉一反三,持續強化機構監管、行為監管、功能監管、穿透式監管、持續監管,協同行業協會將完善制度機制。堅持「零容忍」執法,集中處理多名從業人員違法炒股,制定依法從嚴打擊證券從業人員違規炒股行為的專項整治工作方案,完善從業人員投資行為管理規則,督促機構健全投資申報、審查、監控、懲戒等內控制度,完善投資行為管理機制,進一步堵塞證券從業人員監管制度及執行中的漏洞。
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