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    Let The Key Few In The Market Be More Trustworthy

    2021/9/9 12:55:00 0

    \Securities And Futures

    In order to promote the improvement of the basic system of the capital market, improve the efficiency of supervision, and better protect the legitimate rights and interests of investors, the executive meeting of the State Council on September 8 adopted the measures for the implementation of the commitment system of the parties to the administrative law enforcement of securities and Futures (Draft) (hereinafter referred to as the draft).

    It is reported that the "draft" is in line with the relevant provisions of the securities law, which stipulates that the administrative law enforcement parties promise to take measures to correct suspected illegal acts and compensate investors for their losses, implement joint disciplinary actions against those who fail to fulfill their promises, maintain market order, and timely and reasonably compensate investors' losses in accordance with laws and regulations.

    "The introduction of the draft is the progress of China's rule of law, which can make the key few of the market more trustworthy." Tian Lihui, President of the Financial Research Institute of Nankai University, said that the spirit of contract is the cornerstone of modern market economy, and the implementation of the commitment system is an important measure for the credit system construction of China's capital market. Under the framework of the securities law, the draft can make administrative law enforcement parties keep their promise, supervise the correction of suspected illegal acts and the implementation of compensation for investors' losses.

    At the same time, the draft clearly defines the effective punishment mechanism. The implementation of joint punishment is an effective sanction for the parties of securities and futures administrative law enforcement who can not abide by their promises. It can learn from the past and learn from the future, effectively maintain the market order, and urge the realization of investors' loss compensation.

    The illegal behaviors of securities and futures have the characteristics of strong professionalism, large amount of money involved, difficult identification and wide influence. A partner of a domestic law firm said that promoting the commitment system of administrative law enforcement parties in the field of securities and futures is conducive to maximizing the use of existing administrative law enforcement resources and building an efficient administrative law enforcement mechanism.

    Chen Li, chief economist and director of the Research Institute of Sichuan financial securities, also said that with the steady progress of the current comprehensive registration system of the securities market, active and compliance information disclosure is one of the key reform directions, and will maintain a high degree of concern and punishment attitude towards the dishonesty of enterprises, which requires the parties concerned to operate in compliance with the law, develop their business in good faith, and strengthen the construction of credit system system.

    In fact, under the situation of continuous high-pressure administrative law enforcement in the field of securities and futures, the securities law, as early as 2019, has stipulated the application of administrative commitment.

    In March 2021, the CSRC disclosed in its 2021 legislative work plan that it would cooperate with the relevant departments of the State Council in the formulation and revision of the measures for the implementation of the parties' commitments in the administrative law enforcement of securities and futures. At the same time, the CSRC also listed the provisions on the commitment procedures of the parties in the administrative law enforcement of securities and futures into "key projects to be issued within the year".

    On July 6 this year, the general office of the CPC Central Committee and the general office of the State Council jointly issued the opinions on strictly cracking down on illegal securities activities in accordance with the law (hereinafter referred to as the opinions). It is further clear that the credit commitment system will be established and improved. Establish a credit commitment system for administrative licensing of capital market, and clarify the scope of applicable subjects and licensing matters. The credit commitment and its performance are included in the credit record as an important basis for supervision during and after the event. If the party seriously violates the promise, the relevant administrative license shall be revoked according to law.

    It is worth mentioning that in the opinion issued in July, it is also proposed to establish a credit commitment system for administrative licensing of capital market, and clarify the scope of application and licensing matters. The credit commitment and its performance are included in the credit record as an important basis for supervision during and after the event. At the same time, we should establish and improve the integrity files of the capital market, and comprehensively record the credit information of the participants in the capital market.

    "The core part of the capital market is the issue of credit." Ye Lin, a professor at Renmin University of China law school, also believes that this year's revised "securities market prohibition regulations" issued by the CSRC is to strengthen the construction of market credit. Guo Li, a professor at Peking University Law School, further pointed out that a complete capital market credit system can not only make each market subject responsible for its own behavior, but also benefit from good market performance.

    Some people close to regulators have even told the 21st century economic report that the regulatory authorities intend to further improve the recording scope of credit information in the capital market, expand the coverage of information subjects and contents, and actively promote the sharing of credit information with other departments, judicial organs, local governments and relevant organizations.

    At the same time, with the help of intelligent, networked and scientific and technological technical means and tools, the regulatory authorities will further strengthen the functions of the integrity archives database system, strengthen the collection, query and publicity of information, strengthen the linkage punishment and collaborative supervision of the dishonest subjects in the capital market, improve the basic service ability of innovation supervision and increase the cost of illegal and dishonest.

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