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资本市场首部诚信监管规章下月实施--亲稳网络舆情监控室
2012-08-01
⊙记者 马婧妤 郭玉志 ○编辑 龚维松
MaJing ⊙ reporters GuoYuZhi hsueh ○ GongWeiSong editor
At the beginning of next month,China's capital market credit supervision will be rising。
记者昨日从证监会获悉,在历经一个多月公开征求意见以后,《证券期货市场诚信监督管理暂行办法》自9月起将正式开始施行。
The journalist learned from CSRC,After more than a month after the public to solicit their opinions,《Stock futures market credit supervision and the provisional measures》Since September and will be officially began。
据介绍,该《办法》不仅是我国资本市场首部专门的诚信监管规章,也是证监会在推进社会和市场信用体系建设工作中,加强公共信用信息管理、强化市场行为诚信约束的重要探索。
According to introducing,the《way》Not only is China's capital market first special honesty regulatory rules,Also in promoting social and market securities credit system construction work,To strengthen the management of public credit information、Strengthen market behavior is an important exploration of integrity constraints。
“这是对资本市场诚信建设作出的制度化规范,是专门和专业化制度规章。”证监会相关部门负责人表示,资本市场是以诚信立足的,诚信缺失影响市场信心,损害市场参与主体特别是广大中小投资者的利益,并会成为制约资本市场再上新台阶的“瓶颈”,加强诚信建设始终是资本市场改革、创新、发展的基础性工作。
“This is to the capital market credit construction the institutionalization of a standard,Is special and professional system rules。”Securities related department director said,The capital market is based on good faith,Lack of credibility affect the market confidence,Damage to the market main body participation, especially the the interests of small and medium shareholders,And will be an obstacle to the capital market to a new step“bottleneck”,To strengthen the construction of sincerity is always capital market reform、innovation、The basic work development。
6大创新制度 诚信纳入监管范畴 Six major innovation system integrity into the regulation category
据了解,《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。
According to understand,《way》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。
其中,主要制度包括:建立诚信档案制度;推出诚信信息查询制度;建立违法失信惩戒制度;建立针对几类特定主体的诚信约束制度;为激励、鼓励守信留下了空间;明确诚信监督合作制度等。
Among them,The main system including:Establish credit file system;Launch credit information query system;Set up illegal disciplinary system;Establishment of on a few of the main body of the particular good faith restriction system;For incentive、Encourage and trustworthy left space;Clear the supervision and cooperation system integrity。
《办法》明确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。同时,还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。
《way》Specific provision to create a unified national commission“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。At the same time,Also established 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。
对于违法失信行为如何处理?上述负责人表示,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。
For illegal discreditable behavior how to deal with?The chief said,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。
同时,《办法》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。同时规定上市公司、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。
At the same time,《way》Clearly will be listed company public commitment to perform the relevant information into the credit archives,And will announces。At the same time provisions listed companies、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。
此外,对于市场机构和人员在相关活动中获得奖励等正面信息纳入诚信档案;证监会也将加强同其他部门、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。
In addition,For market organization and personnel in the related activities such as rewards positive information into the credit archives;Securities regulatory commission will also strengthen with other departments、Industry organizations apply credit information sharing,Carry out the supervision and good faith cooperation,To achieve coordinated supervision discreditable behavior。
保护信息主体 Protection information subject
失信信息效力期限最多10年 The most dishonest information effect time limit for 10 years
值得注意的是,《办法》特别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。
Note the,《way》Pay special attention to grasp the disciplinary restriction 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。
例如对于诚信信息的效力期限,上述负责人表示,一般违法失信信息的效力期限为5年,因证券期货违法行为被行政处罚、市场禁入、刑事处罚类信息的为10年,超过效力期限的不再通过诚信档案公布、披露和对外接受查询提供。
For example for the validity of the credit information deadline,The chief said,General breaks the validity of the illegal information deadline for 5 years,Stock futures for illegal activities is administrative penalty、Market stands、Criminal punishment sort of information for 10 years,More than the term effect no longer through the credit archives released、Disclosure and provide foreign accept inquires。
同时,诚信信息也将及时更新更正。《办法》规定有关决定或者行为经由法定程序撤销、变更的,相关诚信信息相应予以删除、修改。市场主体认为自己的信息存在应予删除、修改,或者其他重大、明显错误情形的,可以申请更正。
At the same time,Credit information also will update the correction。《way》Relevant provisions or behavior through legal procedures to cancel、Change of the,Related credit information relevant to be deleted、modify。The market main body of information that there should be deleted、modify,Or other major、Significant errors of the situation,May apply for correction of the。
该负责人表示,在公开征求意见中,市场机构、投资者、从业人员等社会各方都积极参与,提出了不少好的意见和建议。下一步证监会将继续完善资本市场诚信机制,促使市场诚信水平进一步提高。
The official said,In public for advice,Market institutions、investors、Employees and other social all parties are involved in,Puts forward a lot of Suggestions and advice。The next step CSRC will continue to perfect capital market credit mechanism,Make market credit to a higher level。
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