新华社北京７月３１日电（记者陶俊洁、赵晓辉）中国证监会３１日发布《证券期货市场诚信监督管理暂行办法》，自九月起正式施行。这是我国资本市场首部专门的诚信监管规章，旨在加强公共信用信息管理、强化市场行为诚信约束。

    Beijing, July 31 dec（Reporter TaoJunJie、ZhaoXiaoHui）Promulgated by the China securities regulatory commission 31《Stock futures market credit supervision and the provisional measures》，Since September formal promulgation。This is China's capital market first special honesty regulatory rules，To strengthen the management of public credit information、Strengthen market behavior integrity constraints。

    《诚信监管办法》是资本市场诚信建设的一部重要基础性法律制度，其“核心”和“亮点”在于，正式把“诚信”纳入监督管理的范畴，创新建立专门的诚信监督管理制度，通过从诚信信息的界定与归集，到诚信信息的公开查询，从监管部门的诚信监督、管理，到市场机构的自我诚信约束，从失信惩戒、约束，到守信激励、引导等一系列制度机制，强化对市场主体及其行为的诚信约束。其主要制度包括：

    《Integrity regulatory approach》Is the capital market credit construction of an important basic law system，the“core”and“window”is，Formally put“integrity”Into the supervision and management of the category，Innovation set up credit supervision and management system，Through the definition of information from sincerity and documents，To the credit information public inquiry，From regulators to credit supervision、management，To market institutions self integrity constraints，From disciplinary、constraints，Incentive to credit、Guide and a series of institutional mechanism，To strengthen the market main body and the behavior of the integrity constraints。The main system including：

    一是建立诚信档案制度。规定证监会建立全国统一的“证券期货市场诚信档案数据库”，全面归集证券期货市场相关的监管执法、自律管理和司法等公共诚信信息，使市场参与主体的违法失信行为无处遁形。

    One is establish credit file system。CSRC regulations establish a nationwide unified“Stock futures market credit archives database”，Collects the securities and futures market overall supervision of the relevant law enforcement、Self-discipline management and legal public credit information，Make the market main body participation in the illegal discreditable behavior hide something from people who were everywhere。

    二是推出诚信信息查询制度。在依法继续公开行政处罚、市场禁入和行业自律组织的纪律处分决定信息的同时，为便于市场主体了解、掌握自己和有关交易对方的诚信记录，建立了诚信信息申请查询制度，市场主体可以按规定申请查询本人、本人聘请或提供服务的有关机构及其人员诚信信息，包括上述公开范围之外的诚信信息。

    Two is offering credit information query system。In accordance with the administrative punishment in continued public、Market stands and self-discipline of disciplinary decision information organization at the same time，To facilitate the market main body understanding、Master yourself and the related transaction each other's credit record，Establish the credit information system for inquires，The market main body can apply for inquires according to regulations himself、I employ or provide the service of the relevant institutions and their staff credit information，Including the public integrity is outside the scope of information。

    三是建立了一系列的违法失信惩戒制度。包括许可审查一律要查询诚信档案、严格考察诚信记录，针对许可申请人的违法失信记录可以要求解释、说明和核查，在业务创新、试点中对违法失信记录的暂缓安排，在日常监管和专项检查中重点关注违法失信记录较多的机构，在主板、创业板发审委、并购重组委等委员、专家遴选中，对有失信记录的“一票否决”等，使违法失信者成本提高、付出代价、受到制约。

    Three is to set up a series of illegal disciplinary system。Including licensing examination uniformly inquires the sincerity files、Strict inspection credit records，Applicants for the illegal faithless record may be asked to explain、Instructions and check，In business innovation、In the pilot for illegal breaks the record the suspension of the arrangement，In the daily supervision and examination of special focus on the promise of more institutions illegal record，The motherboard、Gem FaShenWei、M&a committee members, etc、Experts in the selection，The promise of a record“One ticket veto”etc，Make illegal paper raised the cost、Pay the price、restricted。

    四是建立了针对几类特定主体的诚信约束制度。为了加大对上市公司及其控股股东、实际控制人和相关重组方履行分红、资产重组等公开承诺的督促、约束力度，明确将上市公司相关公开承诺的履行信息纳入诚信档案，并将予以公示。针对当前市场上部分主体发布与事实明显不符的资本市场相关评论信息，扰乱市场秩序的实际，规定证监会及派出机构可以向其出具诚信关注函，记入诚信档案，并可向其所在工作单位、所属主管部门或者行业自律组织通报。此外，为了促进常态化的自我诚信约束，规定上市公司、证券期货经营机构和服务机构应当建立健全内部诚信监督、约束机制，监管部门有权检查、通报。

    Four is to set up on a few of the main body of the particular kind of good faith restriction system。In order to increase of the listed company and its controlling shareholders、The actual control and related restructuring party to perform dividends、Such as assets restructuring urged public commitment、Constraint strength，Clearly will be listed company public commitment to perform the relevant information into the credit archives，And will announces。In view of the current market main body part issue and the fact that the capital market differs markedly from comments related information，Disrupt the market order of the actual，CSRC regulations and agencies to issue credit concerns the letter，Credited to credit archives，And to its place unit of work can be、The competent department or industry self-regulatory organizations bulletin。In addition，In order to promote the normal self integrity constraints，Provisions listed company、Stock futures business institutions and service agencies shall set up and perfect the internal credit supervision、Constraint mechanism，Supervision department has the right to check、bulletin。

    五是为激励、鼓励守信留下了空间。除将市场机构和人员所获全国性或部级奖励、表彰、评比等正面信息纳入诚信档案，还规定在业务创新、试点中，对诚信记录良好的予以鼓励、倾斜，支持一贯诚信合规的机构拓展业务、做优做强，在日常监管和专项检查环节根据监管对象的诚信状况做出差异化安排，鼓励、支持证券期货市场行业自律组织开展诚信先进典型评选、诚信评价活动等。

    Five is the incentive for、Encourage and trustworthy left space。In addition to the market organization and personnel won national or ministry level rewards、recognition、Comparison such positive information into the credit archives，Also rules in business innovation、Pilot in，Records shall be of good credit to encourage、tilt，Always good faith compliance organization support expanding business、Do best and stronger，In the daily supervision and special inspection according to the regulation of the object link in good faith to make differentiation arrangement，encourage、Support the securities and futures market self-discipline, the organization carries out the good faith advanced type selection、Honesty evaluation activities。

    六是明确诚信监督合作制度。规定证监会将与国务院其他部门、地方政府、司法机关、行业组织实行诚信信息共享，开展诚信监督合作，实现对失信行为协同监管。

    Six is clear credit supervision and cooperation system。Provisions under the state council and other departments to CSRC、Local government、Judicial authority、Industry organizations apply credit information sharing，Carry out the supervision and good faith cooperation，To achieve coordinated supervision discreditable behavior。

    《诚信监管办法》同时也注意把握失信惩戒约束与市场参与主体信息权益保护之间的平衡，在通过对市场主体诚信信息公开、查询，强化对失信进行惩戒、约束的同时，建立了信息主体合法权益保护的相关制度。 

    《Integrity regulatory approach》At the same time also pay attention to grasp the disciplinary constraint and the market main body participation in the balance between information rights protection，In the market main body credit information public、inquires，To strengthen the promise for retribution、Constraint and，Set up information subject lawful rights of protection the relevant system。