自律管理措施是对未造成严重后果或者不良社会影响的一般性违规行为采取的惩戒措施，如谈话提醒、警示、责令参加强制培训、责令整改等 Self-discipline management measures is not to cause serious consequences or negative social influence the general violations take disciplinary measures，Such as the conversation to remind、warning、Compulsory training shall be ordered to attend、Shall order rectification, etc

　　纪律处分则是对造成严重后果或者不良社会影响的重大违规行为采取的惩戒措施，如停止执业、暂停或者取消协会授予的业务资格、暂停部分会员权利、取消会员资格等 Disciplinary action is to cause serious consequences or negative social influence of major violations take disciplinary measures，Such as stop practice、To suspend or cancel association awarded business qualification、Stop member of rights、Cancel memberships, etc

　　⊙记者 马婧妤 ○编辑 龚维松

Reporter MaJing ⊙ ○ hsueh GongWeiSong editor

　　中国证券业协会日前正式发布《中国证券业协会自律管理措施和纪律处分实施办法》、《自律监察案件办理规则》、《自律监察专业委员会组织规则》等三项制度，区分了自律管理措施和纪律处分这两类不同性质的惩戒措施，进一步明确了惩戒措施的种类和各自的适用范围、适用原则。

China securities association released yesterday《China securities association self-discipline management measures and disciplinary action implementing measures》、《Self-discipline monitoring the case for the rules》、《Self-discipline supervisory professional committee organizational rules》Three system，Distinguish between the self-discipline management measures and disciplinary action this two kinds of different nature of the disciplinary measures，Further clarify the types of disciplinary measures and their respective range、principles。

　　上述制度的发布实施，标志着协会自律监察工作基础性制度已经建立。下一步，协会还将加大对会员单位和从业人员违反自律规则和职业道德行为的查处力度，增强自律规则的权威性和有效性，以促进会员单位和从业人员规范执业。

The above the promulgation and enforcement of the system，Marks the basic system of the supervision work of self-discipline association has been established。The next step，The association has also will increase to member unit and employment in violation of self-discipline rules and ethical behavior investigation dynamics，Strengthen self-discipline rules of the authority and effectiveness，In order to promote the member unit and regulate professional employees。

　　协会有关负责人介绍，这三项制度遵循惩戒与行业发展相协调、机构责任与个人责任相区分、惩戒与教育相结合的原则，区分了自律管理措施和纪律处分这两类不同性质的惩戒措施。

An official in charge of association，The three systems follow the development of the industry in coordination with retribution、Agency responsibility and separate from personal responsibility、Retribution and education with the principle of combining the，Distinguish between the self-discipline management measures and disciplinary action this two kinds of different nature of the disciplinary measures。

　　其中，自律管理措施是对未造成严重后果或者不良社会影响的一般性违规行为采取的惩戒措施，如谈话提醒、警示、责令参加强制培训、责令整改等。纪律处分则是对造成严重后果或者不良社会影响的重大违规行为采取的惩戒措施，如停止执业、暂停或者取消协会授予的业务资格、暂停部分会员权利、取消会员资格等。

Among them，Self-discipline management measures is not to cause serious consequences or negative social influence the general violations take disciplinary measures，Such as the conversation to remind、warning、Compulsory training shall be ordered to attend、Shall order rectification, etc。Disciplinary action is to cause serious consequences or negative social influence of major violations take disciplinary measures，Such as stop practice、To suspend or cancel association awarded business qualification、Stop member of rights、Cancel memberships, etc。

　　按照上述制度规定，在案件处理上，应遵循客观、公正、简便、高效的原则，明确对纪律处分案件和自律管理措施案件分别适用不同的处理程序，对会员的纪律处分需经协会理事会表决通过。在工作机构上，坚持查审分离原则，规定由协会执业检查部门负责案件的立案与调查，在自律监察专业委员会之下新设审理委员会、复核委员会两个职能委员会，专门负责纪律处分案件的审理、复核工作。

According to the above regulations，In the case of processing，Should follow the objective、justice、simple、Efficient principles，Clear to disciplinary action cases and self-discipline management measures for the different cases respectively process，Discipline to the members need to the association council voted on。In the office，Adhere to the principle of separation check，Regulations of practice inspection departments responsible for association of the case file and survey，In the self-discipline monitoring professional committee set up under the new trial committee、Review committee two functions committee，Dedicated to the disciplinary action the hearing of the case、verifying。

　　下一步，协会将着力完善执业检查工作机制，健全投诉、举报处理程序，全面提升自律监察能力。随着三项制度的出台，协会还将加大对会员单位和从业人员违反自律规则和职业道德行为的查处力度，增强自律规则的权威性和有效性，以促进会员单位和从业人员规范执业，维护证券行业的三公原则，为行业创新发展创造良好的市场环境。

The next step，We will improve association will practice to check the work mechanism，Sound complaints、Reporting procedures，Improve self-discipline monitoring capability。With the promulgation of the three systems，The association has also will increase to member unit and employment in violation of self-discipline rules and ethical behavior investigation dynamics，Strengthen self-discipline rules of the authority and effectiveness，In order to promote the member unit and regulate professional employees，Maintenance of the securities industry three-fair principles，For industry innovation development to create a good market environment。

　　业内人士认为，在证监会推动行业创新发展的背景下，协会出台自律监察制度是一项提高协会公信力、执行力，增强自律管理权威性、有效性的重要举措。对于深入推进会员单位归位尽责，提升行业诚信建设水平，保障各项创新业务健康发展具有重要意义。

The personage inside course of study thinks，In the securities industry innovation to promote the development of background，Association issued self-discipline supervision system is a improve association credibility、execution，Strengthen self-discipline management authority、The validity of the important action。For advancing the member unit responsible position，Improve the good faith construction industry level，Ensure the healthy development of the innovative business to have the important meaning。