证监会纪委组织召开推进惩防体系建设座谈会 CSRC discipline organization (advance prevention and punishment system construction forum

　　记者 马婧妤 编辑 龚维松

Reporter MaJing hsueh GongWeiSong editor

　　为进一步落实中央纪委惩防体系建设分工方案中证监会牵头任务，深入打击内幕交易和市场操纵行为，证监会纪委日前在深圳组织召开座谈会。证监会党委委员、纪委书记黎晓宏在会上指出，打击内幕交易、市场操纵等行为是推进惩防体系建设的重要内容，应充分发挥一线监管优势，持续深入地打击内幕交易和市场操纵行为。

To further implement the central discipline prevention and punishment system construction plan in securities division lead tasks，Further blow insider trading and market manipulation，CSRC discipline in shenzhen has organized by a forum。CSRC party committee member、Secretary of the discipline inspection commission LiXiaoHong at the meeting that，Blow insider trading、Market manipulation of the behavior such as prevention and punishment system is an important content of the construction of，Should give full play to the advantages of a line supervision，Deep blow for insider trading and market manipulation。

　　交易所市场监察部门作为稽查执法的重要组成部分，处于市场执法的最前沿，承担着发现违法违规行为、上报违法违规线索、制止不当交易和协助调查等重要职责。2009年至今，沪深证券交易所共向证监会上报案件线索435件，占证监会全部案件线索的47%，其中，内幕交易和市场操纵的案件线索占比达60%。

Exchange market supervision department as audit is an important part of law enforcement，In the market law enforcement forefront，Responsible for law enforcement、Report illegal clues、Improper trading and assist in the investigation to such important duties。Since 2009，Shenzhen stock exchange to securities regulatory commission report of 435 pieces of case clues，Accounting for 47% of all securities case clues，Among them，Insider trading and market manipulation of the case clues than 60%。

　　黎晓宏指出，内幕交易和市场操纵是当前资本市场最为突出的违法违规行为，严厉打击内幕交易和市场操纵行为不仅是证券执法的工作重点，也是推进惩防体系建设的重要内容。应切实增强打击内幕交易和市场操纵行为的使命感、紧迫感、责任感。

LiXiaoHong points out that，Insider trading and market manipulation is the current capital market the most outstanding illegal behavior，To crack down on insider trading and market manipulation of the securities law enforcement is not only focus，Promote prevention and punishment system is an important content of the construction of。Should strengthen the strike insider trading and market manipulation sense of mission、Sense of urgency、responsibility。

　　“近两年通过加大惩治力度，打击内幕交易和市场操纵行为取得了明显的阶段性成效。但从实际看，尽管我们采取了不少防控措施，这两类案件易发多发的态势并没有得到根本遏制。”黎晓宏表示，应从推进惩防体系建设，促进资本市场科学发展的战略高度，充分发挥一线监管优势，持续深入地打击内幕交易和市场操纵行为。

“In the past two years by increasing the punishment strength，Blow insider trading and market manipulation made the obvious stage effect。But from the actual see，Although we have taken a lot of prevention and control measures，The two cases of the multiple cross-bred situation and didn't get basic curbed。”LiXiaoHong said，Should promote prevention and punishment system construction，Promote capital market the strategic height of scientific development，Give full play to the advantages of a line supervision，Deep blow for insider trading and market manipulation。

　　黎晓宏提出，构建惩防体系建设，既包括证券期货监管系统的惩防体系，同时更重要的是切实完成惩防体系建设证监会牵头任务。

LiXiaoHong put forward，Constructing prevention and punishment system construction，Stock futures regulatory system includes both the prevention and punishment system，And more important is to finish prevention and punishment system construction CSRC lead tasks。

　　从当前资本市场违法违规行为来看，还有一些突出的重点和难点问题亟待解决。要破解这些困难和挑战，必须进一步加强技术系统建设，优化监控指标体系，提高异动线索发现能力和准确性；进一步加强联动监管机制建设，更加重视信息交换与共享，有效防范跨市场风险；进一步加强研究能力建设，适应市场快速发展的要求，及时跟踪研究新交易特点和违法违规行为变化，不断提高及时应对打击的能力和水平。

From the current capital market illegal and see，And some prominent key points and difficulties urgently to be solved。To solving these problems and challenges，Must further strengthen technical system construction，Optimization monitoring index system，Improve moved clues found ability and accuracy；To further strengthen the linkage mechanism construction supervision，Pay more attention to the information exchange and sharing，Effectively preventing cross market risk；Further strengthen the study ability construction，To adapt to the rapid development of market requirements，Timely follow-up study new trading characteristics and illegal change，Continuously improve to blow in the ability and level。

　　他表示，推进惩防体系建设是一项重要职责，必须把防控市场风险和廉政风险作为构建惩防体系的抓手，结合监管部门实际，研究建立廉政风险防控体系。“强调抓前沿就是通过采取一些刚性措施，把反腐倡廉要求纳入各项业务工作中，通过抓权力运行的前沿，抓市场监管的前沿，抓日常监管的前沿，把防范市场风险与廉政建设结合起来，把市场监察与现代管理结合起来，实现廉政风险防控的系统性、协调性、公开性、实效性，全面系统地做好廉政风险防控工作。”

He said，Promote prevention and punishment system construction is an important duty，Must take control and prevention market risk and the risk prevention and punishment system construction as the means，Combined with the actual supervision department，Study and establish the risk prevention and control system。“Emphasize catch is through the front to take some rigid measures，The anti-corruption requirements into various business work，By the way of power forward，Grasp market supervision's front，Catch the leading edge of the daily supervision，To prevent market risk and honest construction together，The market supervision and modern management together，The risks to the system of prevention and control realization、coordination、publicity、effectiveness，Comprehensive and systematic risk prevention and control the work well。”

　　黎晓宏表示，廉政风险防控体系第一道防线包含“信息防控”、“岗位防控”、“流程防控”和“制度防控”等内容。信息防控要抓预警，岗位防控要抓隔离，流程防控要抓公开，制度防控要抓执行。第二道防线是结合会机关和系统各单位实际，“审批前沿抓重点岗位”、“监管前沿抓派出机构”、“市场前沿抓交易所”。同时，还要发挥“技术防控”、“案件查控”、“系统防控”等三道防线的作用，扎实推进廉政风险防控工作。

LiXiaoHong said，The risk prevention and control system contains the first line of defense“Information control and prevention”、“Position control and prevention”、“Process control and prevention”and“Crime prevention and control system”Content such as the。Prevention and control information to catch the early warning，Position to catch and isolation，Process control and prevention to catch public，Crime prevention and control system to catch execution。The second line of defence is combination would authority and the actual system unit，“The examination and approval frontier to grasp key posts”、“Regulatory front catch agencies”、“Market frontier catch exchange”。At the same time，Will play“Prevention and control technology”、“Case ZhaKong”、“Crime prevention and control system”And three passes role，The risk control and prevention of solid work。