“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

“core”and“window”is，Formally put“integrity”Into the supervision and management of the category，Innovation set up credit supervision and management system

　　本报记者朱宝琛

Our correspondent ZhuBaoChen

　　历经一个多月的公开征求意见，中国证监会近日正式发布《证券期货市场诚信监督管理暂行办法》（证监会第80号令），并自九月起正式施行。据了解，这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。

After more than a month of public for advice，The China securities regulatory commission recently issued a formal《Stock futures market credit supervision and the provisional measures》（CSRC 80 words），And since September formal promulgation。According to understand，This 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。

　　证监会有关部门负责人表示，中央高度重视诚信建设，人民群众也十分期待，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，证监会正是在这一背景和考虑下，决定出台专门的《诚信监管办法》的。

Securities regulatory commission in charge of relevant departments said，The central pay high attention to the construction of good faith，People are really looking forward to，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，Securities regulatory commission during the background and to consider，Decisions on special《Integrity regulatory approach》of。

　　他同时介绍，《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：一是建立诚信档案制度；二是推出诚信信息查询制度；三是建立了一系列的违法失信惩戒制度；四是建立了针对几类特定主体的诚信约束制度；五是为激励、鼓励守信留下了空间；六是明确诚信监督合作制度。

He also introduced，《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：One is establish credit file system；Two is offering credit information query system；Three is to set up a series of illegal disciplinary system；Four is to set up on a few of the main body of the particular kind of good faith restriction system；Five is the incentive for、Encourage and trustworthy left space；Six is clear credit supervision and cooperation system。

　　与此同时，负责人介绍，《诚信监管办法》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。一是设定了诚信信息的效力期限，二是建立了诚信信息更新、更正机制，三是设计了较为完善的诚信信息申请查询程序。

At the same time，Controller introduces，《Integrity regulatory approach》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。One is the validity of the credit information set a deadline，Two is to establish the credit information updates、Correction mechanism，Three is to design a perfect credit information program for inquires。

　　“在公开征求意见中，包括市场机构、从业人员、投资者、研究人员在内的市场和社会各方积极参与，提出了不少好的意见和建议，其中大部分体现为相关制度的修改、完善。”负责人说，此外，还有其他一些很好的意见、建议，但出于多方面的考虑，未能体现在目前的暂行办法中。

“In public for advice，Including market institutions、employees、investors、The researchers, the market and social parties involved in，Puts forward a lot of Suggestions and advice，Most of the relevant system embodied in the modification、perfect。”Chief says，In addition，There are other good advice、suggest，But for many consider，Failed to reflect in the present interim measures。

　　此外，负责人表示，制度关键在于实施，希望市场各方以贯彻实施《诚信监管办法》为契机，在全市场、全行业进一步深化对诚信的认识，强化自我的诚信约束要求，切实做到诚实信用、守法合规，共筑市场诚信大坝，进一步提高市场诚信水平。

In addition，Head says，System implementation is key，Hope all parties market to be implemented《Integrity regulatory approach》As an opportunity，In all the market、The industry of the integrity of further deepening understanding，Strengthen the integrity of self constraint requirements，Be honest and credit、Law-abiding compliance，Altogether builds the market credit dam，To further improve the market credit level。