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| Announcement of the Securities Association of China on Issuing the Integrity Measures of the Securities Association of China | | 中国证券业协会关于发布《中国证券业协会诚信管理办法》的公告 |
| The Integrity Measures of the Securities Association of China, which were adopted by correspondence voting on the 9th meeting of the Fifth Council on July 19, 2013, are hereby issued. The Interim Measures for the Administration of the Integrity Information of Members of the Securities Association of China and the Interim Measures for the Administration of the Integrity Information of Securities Employees shall be repealed simultaneously. | | 《中国证券业协会诚信管理办法》于2013年7月19日经第五届理事会第九次会议通讯表决通过，现予以公布。《中国证券业协会会员诚信信息管理暂行办法》、《证券从业人员诚信信息管理暂行办法》同时废止。 |
| Annexes: | | 特此公告。 |
| | 附件： |
| 1. Integrity Measures of the Securities Association of China | | 1.中国证券业协会诚信管理办法 |
| 2. Explanation on the Modification of the Integrity Measures of the Securities Association of China | | 2.《中国证券业协会诚信管理办法》修订说明 |
| Securities Association of China | | 中国证券业协会 |
| August 13, 2013 Annex 1: | | 2013年8月13日附件1： |
| Integrity Measures of the Securities Association of China | | 中国证券业协会诚信管理办法 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 In order to accelerate the integrity system building of the securities sector, enhance the integrity awareness of members and employees, advocate the professional culture of lawful operations and honest services, promote the healthy development of the securities market, and standardize the management of integrity information, these Measures are made pursuant to the Interim Measures for the Supervision and Administration of Integrity in the Securities and Futures Markets. | | 第一条 为推进证券行业诚信体系建设，增强会员及从业人员诚信观念，倡导守法经营、诚信服务的行业文化，促进证券市场健康发展，规范诚信信息管理，根据中国证监会《证券期货市场诚信监督管理暂行办法》，制定本办法。 |
| Article 2 The Securities Association of China (“SAC”) establishes integrity information management systems and integrity evaluation and inspection systems for the routine management of the integrity building of members and employees. | | 第二条 中国证券业协会（以下简称“协会”）建立诚信信息管理系统、诚信状况评估和检查制度，对会员和从业人员的诚信建设进行日常管理。 |
| Article 3 Members shall establish integrity management systems, carry out integrity building activities, discipline employees into operating business with integrity, and advocate integrity in the sector. | | 第三条 会员应建立诚信管理制度，开展诚信建设活动，约束员工诚信执业情况，倡导行业诚信。 |
| Article 4 For the purpose of these Measures, the term “members” refers to the statutory members and ordinary members of the SAC. | | 第四条 本办法所称会员，是指协会法定会员和普通会员。 |
| Article 5 For the purpose of these Measures, the term “employees” refers to professionals with qualifications for securities business and engaged in securities business in institutions of securities business under the Measures of the China Securities Regulatory Commission for the Administration of the Qualifications of Securities Employees and the Detailed Implementation Rules of the SAC for the Administration of the Qualifications of Securities Employees, as well as professionals treated as the aforesaid under the SAC rules. | | 第五条 本办法所称从业人员，是指依据中国证监会《证券业从业人员资格管理办法》和协会《证券业从业人员资格管理实施细则》规定，取得证券从业资格并在依法从事证券业务的机构中从事证券业务的专业人员，以及根据协会规定比照上述人员管理的专业人员。 |
| Article 6 These Measures apply to the definition, gathering and management of information to be recorded into the integrity information management system, the disclosure, inquiry and correction of integrity information, as well as integrity restraint, incentive and guidance. | | 第六条 记入诚信信息管理系统的信息的界定、采集与管理，诚信信息的公开、查询、更正，诚信约束、激励与引导，适用本办法。 |
| The principles of authenticity, accuracy, fairness and compliance shall be followed in the gathering, recording and use of integrity information. | | 诚信信息的收集、记录和使用，应当遵循真实、准确、公正、规范的原则。 |
| Chapter II Gathering and Management of Integrity Information | | 第二章 诚信信息的采集与管理 |
| Article 7 For the purpose of these Measures, “integrity information” means information about members and employees regarding their law-abidingness, integrity and honesty in business operations and practices, as well as other information affecting their integrity condition. | | 第七条 本办法所称诚信信息，是指会员、从业人员在经营、执业活动中是否遵纪守法、诚实守信的信息和对评价其诚信状况有影响的其他信息。 |
| Integrity information includes: basic information, reward information, punishment/disciplinary information, and other information as set forth by the self-disciplinary rules of the SAC. | | 诚信信息包括：基本信息、奖励信息、处罚处分信息及协会自律规则规定的其他信息。 |
| Article 8 Basic information shall be consistent with that recorded in the member information management system and the employee information management system of the SAC. | | 第八条 诚信基本信息与协会会员信息管理系统、从业人员信息管理系统基本信息保持一致。 |
| Article 9 Reward information shall cover the rewarded entity or individual, the rewarding entity, the content of reward, the honorable title or reward grade, the time of rewarding and the serial number of the reward document. The honors, rewards or appraisals given by the following entities shall be recorded in reward information: | | 第九条 奖励信息包括受奖励单位或个人、表彰单位、表彰内容、荣誉称号或奖励等级、表彰时间和文号等。下列主体做出的表彰、奖励、评比应记入奖励信息： |
| (1) The China Securities Regulatory Commission (“CSRC”) and the local offices thereof; | | （一）中国证监会及其派出机构； |
| (2) The SAC, the Capital Market Development Monitoring Center Co., Ltd, and the local securities associations; | | （二）中国证券业协会、中证资本市场发展监测中心有限责任公司及地方性证券业协会； |
| (3) National securities exchanges, securities depository and clearing institutions, and equity exchanges; | | （三）全国性证券交易所、证券登记结算机构、产权交易场所； |
| (4) Other domestic or overseas self-disciplinary organizations approved by competent authorities at or above the provincial or ministerial level or the SAC; and | | （四）其他省部级及以上国家相关主管机关或协会认可的境内外自律组织； |
| (5) Other entities whose rewards need to be recorded in reward information as decided by the SAC. | | （五）协会认为有必要记录其奖励信息的其他单位。 |
| Article 10 Punishment/disciplinary information shall cover the name of the punished or disciplined entity or individual, the person responsible for the punished or disciplined entity, the time of punishment or discipline, the valid period of the punishment or discipline, the cause of punishment or discipline, the institution making the punishment or disciplinary decision, the type of punishment or discipline, and the serial number of the punishment or discipline document. The following information shall be recorded in punishment/discipline information: | | 第十条 处罚处分信息包括受处罚处分机构或个人名称、受处罚处分机构责任人、处罚处分时间、效力期限、处罚处分原因、做出处罚处分决定的机构、处罚处分类别、文号等。下列信息应记入处罚处分信息： |
| (1) Administrative punishment decisions made, market entry bans imposed and regulatory measures taken by the CSRC and the local offices thereof; | | （一）中国证监会及其派出机构做出的行政处罚、市场禁入决定和采取的监督管理措施； |
| (2) Self-disciplinary measures taken by the SAC, the Capital Market Development Monitoring Center Co., Ltd, securities exchanges, securities depository and clearing institutions, local securities associations and other securities organizations; and | | （二）中国证券业协会、中证资本市场发展监测中心有限责任公司、证券交易所、证券登记结算机构、地方性证券业协会等证券市场行业组织实施的自律惩戒措施； |
| (3) Other information that should be recorded as judged by the SAC. | | （三）协会认为有必要记录的其他情况。 |
| Punishments or disciplines imposed by members on their employees are not recorded in punishment/disciplinary information, but shall be entered in the reference column of integrity information. | | 会员对本单位从业人员做出的处罚处分不作为处罚处分信息，但应记入诚信信息备注栏。 |
| Article 11 The SAC shall establish integrity information exchange channels with the CSRC and the local offices thereof, national stock exchanges, national securities depository and clearing institutions, local securities associations, members and other relevant institutions. | | 第十一条 协会与中国证监会及其派出机构，全国性证券交易所，全国性证券登记结算机构，地方证券业协会，会员及其他相关机构建立诚信信息交流渠道。 |
| Article 12 The SAC shall gather integrity information through the following channels: | | 第十二条 协会通过以下途径采集诚信信息： |
| (1) Basic information shall be gathered through the member information management system and the employee information management system of the SAC. | | （一）基本信息通过协会会员信息管理系统和从业人员信息管理系统采集； |
| (2) Information about the rewarding and self-disciplinary decisions made by the SAC shall be entered into the integrity information system by the SAC. | | （二）协会做出的奖励信息、自律惩戒信息，由协会录入诚信信息系统； |
| (3) As for other information, such as that about any reward given by entities other than the SAC that satisfy conditions as set forth in Article 9 of these Measures, members shall report it to the integrity management system of the SAC within ten working days after receiving the written decision on rewarding them or their employees, and such information shall be recorded in the integrity information system upon examination by the SAC. If the SAC believes that the information does not conform to these Measures, it shall return it back to the members concerned and explain the reason. | | （三）协会以外主体做出的、符合本办法第九条规定条件的奖励信息等其他信息，会员应自收到对本单位及本单位从业人员奖励决定文书之日起十个工作日内向协会诚信管理系统申报，协会审核后记入诚信信息系统；协会认为申报信息不符合本办法规定的，应当退回会员并说明不予记入诚信信息系统的原因。 |
| (4) Information about punishments or disciplines imposed by entities other than the SAC, if it fits the prescription of Article 10 of these Measures, shall be gathered by ways such as integrity information sharing and recorded in the integrity information system. | | （四）协会以外主体做出的、符合本办法第十条规定的处罚处分信息，由协会通过诚信信息共享等途径采集并录入诚信信息系统。 |
| (5) Information punishments or disciplines imposed by members on their employees shall be reported by members to the integrity management system of the SAC within ten working days after the punishment or disciplinary decision becomes effective and be recorded in the reference column of the integrity information system upon examination by the SAC. If the SAC believes that the information should not be recorded in the integrity information system, it shall return the information back to the members concerned and explain the reason. | | （五）会员对本单位从业人员做出的处罚处分信息，会员应自处罚处分决定生效之日起十个工作日内向协会诚信管理系统申报，协会审核后记入诚信信息系统备注栏；协会认为申报信息不应记入诚信信息系统的，应当退回会员并说明不予记入诚信信息系统的原因。 |
| Article 13 The SAC shall impartially and objectively record integrity information acquired from different channels and maintain the integrity of the original integrity information, and may not selectively record integrity information. | | 第十三条 协会应公正、客观地记录从不同信息渠道获取的诚信信息，保持诚信信息的原始完整性，不得有选择地记录诚信信息。 |
| Article 14 In case the decision or action as the subject matter of the integrity information recorded in the integrity information management system is cancelled or modified by the statutory procedure, the SAC shall delete or modify the corresponding integrity information in a timely manner; in case the decision or action as the subject matter of the integrity information gathered under Article 12 (3) or (5) of these Measures is cancelled or modified by the statutory procedure, the member concerned shall report it to the integrity management system of the SAC within ten working days after receiving the written cancellation or modification decision. | | 第十四条 记入诚信信息管理系统的诚信信息所对应的决定或者行为经法定程序撤销、变更的，协会应及时删除、修改相应诚信信息；经本办法第十二条第（三）、（五）项规定途径采集的信息所对应的决定或者行为经法定程序撤销、变更的，会员应自收到撤销、变更决定文书之日起十个工作日内向协会诚信管理系统申报。 |
| Chapter III Retention and Valid Periods of Integrity Information | | 第三章 诚信信息的保存与效力期限 |
| Article 15 Integrity information shall be retained in the form of electronic documents. Integrity information with hardcopy certificates shall be retained in both electronic and hard copies. | | 第十五条 诚信信息以电子文档形式保存。诚信信息有纸质证明文件的，证明文件以电子和纸质两种形式保存。 |
| Article 16 The electronic documents of integrity information shall be retained for a long time. The retention period of hardcopy certificates shall be the same as the valid period of the relevant integrity information. | | 第十六条 诚信信息电子文档长期保存。纸质证明文件保存期与相关诚信信息效力期限一致。 |
| Article 17 The valid period of integrity information is as follows: | | 第十七条 诚信信息的效力期限为： |
| (1) Basic information is valid permanently. | | （一）基本信息长期有效； |
| (2) Reward information and punishment/disciplinary information is valid for five years, but information about administrative punishments or market entry bans imposed for securities or futures violations is valid for ten years. | | （二）奖励信息、处罚处分信息效力期限为5年，但因证券期货违法行为被行政处罚、市场禁入的信息，效力期限为10年。 |
| The valid period starts from the day when the reward, punishment or disciplinary decision becomes effective. If the reward, punishment or discipline itself has an execution duration, the valid period starts from the expiry date of such execution duration. | | 效力期限自奖励、处罚处分决定生效之日起算。奖励、处罚处分本身有执行期间的，效力期限自执行期间届满之日起算。 |
| Article 18 Integrity information beyond its valid period shall be transferred to the history database. Such information will be no longer available for inquiry, unless otherwise provided for by laws, regulations or the SAC rules. | | 第十八条 超过效力期限的诚信信息转入历史记录库。转入历史记录库的信息不再提供查询服务，但法律法规及协会另有规定的除外。 |
| Chapter VI Use of and Inquiry about Integrity Information | | 第四章 诚信信息的使用与查询 |
| ．．．．．． | | ．．．．．． |
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