On the afternoon of October 27, under the guidance of the Tianjin Securities Regulatory Bureau, the Tianjin Securities Association organized an on-site training for 191 member units in the entire jurisdiction. The training focused on brokerage business, honest practice, complaint handling, etc. Expert teachers from the Securities Association of China and the Hunan Securities Association were invited to give on-site explanations. The Tianjin Securities Association takes practical actions to promote member units in the jurisdiction to adhere to the bottom line of honest business practices, effectively maintain the order of market transactions, and protect the legitimate rights and interests of investors.
Zhang Zhelin, deputy secretary-general of the Tianjin Securities Association, delivered a speech at the event. He hoped that through this training, securities operating institutions in the jurisdiction will further strengthen their understanding of the new regulations, promote the implementation of the new regulations, standardize business activities, and strengthen the staff of securities institutions in the jurisdiction. Awareness of professional integrity. He also stated that the association will further promote the results of this special training, strengthen training for practitioners in the jurisdiction, and make the culture of self-discipline and integrity take root.
During the training, Guan Xin, senior sponsor of the Third Member Service Department of the Securities Association of China, first interpreted the “Implementation Rules for the Management of Securities Brokerage Business”. Guan Xin introduced that the “Implementation Rules for the Management of Securities Brokerage Business” were drafted based on the “Securities Law”, “Measures for the Administration of Securities Brokerage Business” and other laws and regulations. Under the overall framework of the “Measures”, the “Detailed Rules” focus on the connotation of securities brokerage business, further clarify and refine the responsibilities of securities companies engaged in securities brokerage business, and urge securities companies to strictly perform investor management responsibilities, marketing management responsibilities, and compliance management responsibilities. , Audit and audit responsibilities, and strengthen self-discipline management of securities companies. Guan Xin interpreted the main contents of the “Detailed Rules” and said that the next step of the China Securities Association will focus on strengthening training, supervising implementation, and collecting opinions.
Liu Danyue, executive vice president and secretary-general of the Hunan Securities Association, spoke on the topic of “Integrity Practice Requirements and Self-Discipline Standards”, from the perspective of professional ethics and integrity practice requirements, integrity and self-discipline management standards for securities and futures operating institutions, integrity practice and the construction of a talent team Shared from other angles. Based on the interpretation of relevant documents and the analysis of a large number of cases, Liu Danyue believes that securities operating institutions should strengthen the construction of a clean business culture, implement the concept of clean business, effectively penetrate the clean business management work into all aspects of business development, and effectively prevent the risks of clean business, Continuously improve the integrity awareness of employees and promote the high-quality development of securities companies. In addition, Liu Danyue also shared complaint handling skills and case analysis.
This year, the China Securities Regulatory Commission and the Securities Association of China respectively issued relevant laws and regulations such as the Measures for the Administration of Securities Brokerage Business, the Implementation Rules for the Administration of Securities Brokerage Business, and the Implementation Rules for the Integrity of Securities Business Institutions and Their Staff. In order to implement the above laws and regulations, regulate the development of securities brokerage business in Tianjin, and promote securities operating institutions and their staff to strengthen their awareness of integrity, the Tianjin Securities Association organized a series of visiting and learning activities. In this special training lecture, the association organized the heads of 191 member units in the jurisdiction to participate, which strengthened the training and achieved good results.