证券从业人员失职行为管理研究

我国应以系统化思维完成证券从业人员失职行为管理体系的设计落地。借鉴境内外失职行为规制经验,本文构建证券从业人员失职行为的管理架构,推动失职行为的分级分类管理,并重点建立并完善信息治理共享机制、任前审查与离任审计机制、容错纠错与问责机制、行业统一责任追究机制、道德风险防范机制。这将加快推动失职行为管理工作走向常态化与闭环化,以从业人员的规范管理推动证券行业的长期稳定健康发展。

Research on the Management of Misconduct by Securities Practitioners

The management of misconduct by securities practitioners in China should be systemically designed and implemented.This paper builds a management framework for misconduct by securities practitioners,and implements classified management of misconduct,and also focuses on establishing and improving information governance sharing mechanism,pre appointment review and leaving audit mechanism,fault tolerance and error correction mechanism,industry unified accountability mechanism,and moral hazard prevention mechanism.This together will accelerate the normalization and closed-loop management of misconduct,which promotes the long-term stable and healthy development of China’s securities industry.