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证券公司信息隔离墙制度指引
作者:赵丽娜律师发布   出处:法律顾问网·涉外www.flguwen.com     时间:2011/3/31 14:06:00

Guidelines on the Information Screening Wall Systems of Securities Companies

证券公司信息隔离墙制度指引

Promulgating Institution: Securities Association of China
Document Number: Zhong Zheng Xie Fa [2010] No. 203
Promulgating Date: 12/29/2010
Effective Date: 01/01/2011
Validity Status: Valid
颁布机关: 中国证券业协会
文     号: 中证协发[2010]203号
颁布时间: 12/29/2010
实施时间: 01/01/2011
效力状态: 有效

Text

正文

Chapter 1: General Provisions
第一章  总则
Article 1    These Guidelines are formulated to guide securities companies to establish sound information screening wall systems and prevent insider dealing and manage conflicts of interest.
     第一条  为指导证券公司建立健全信息隔离墙制度防范内幕交易和管理利益冲突制定本指引。
Article 2    Securities companies shall establish information screening wall systems. Information screening wall systems shall cover all types of businesses in which conflicts of interest exist.
For the purposes of these Guidelines, the information screening wall system shall mean a series of measures adopted to control the improper flow and use of sensitive information among businesses in which conflicts of interest exist.
For the purposes of these Guidelines, sensitive information shall mean the insider information that securities companies obtain or learn about in the course of business operation or other information that may have major impact on investment decisions and has not been disclosed.
     第二条  证券公司应当建立信息隔离墙制度。信息隔离墙制度应当覆盖相互存在利益冲突的各项业务。
    本指引所称信息隔离墙制度是指证券公司为控制敏感信息在相互存在利益冲突的业务之间不当流动和使用而采取的一系列措施。
    本指引所称敏感信息是指证券公司在业务经营过程中掌握或知悉的内幕信息或者可能对投资决策产生重大影响的尚未公开的其他信息。
Article 3    A securities company shall include the information screening wall system in the company's internal control mechanism, adopt effective measures to improve business procedures, identify, evaluate, and manage the sensitive information relating to business operation and the conflict of interest that may occur, strengthen training and education of staff and pursue the liabilities for acts of divulging and using sensitive information in violation of the rules.
A securities company shall regularly evaluate the effectiveness of the information screening wall system and adjust and improve the information screening wall system in a timely manner based on the changes of the situations and the need to manage conflicts of interest.
     第三条  证券公司应当将信息隔离墙制度纳入公司内部控制机制采取有效措施健全业务流程对与业务经营有关的敏感信息和可能产生的利益冲突进行识别,评估和管理加强对工作人员的培训和教育对违规泄漏和使用敏感信息的行为进行责任追究。
    证券公司应当定期评价信息隔离墙制度的有效性并根据情况的变化和管理利益冲突的需要及时调整和完善。
Article 4    A securities company shall specify clearly the duties of the board of directors, the management, all the departments and branches in establishing and implementing the information screening wall system.
The board of directors and the key persons in charge of the operation and management of a securities company shall assume ultimate responsibility for the effectiveness of the company's information screening wall system. The persons-in-charge of all the business departments and branches shall take responsibilities for the effectiveness of the information screening wall systems implemented by their own departments and their own institutions.
The compliance director and compliance department of a securities company shall assist the board of directors and the management to establish and implement the information screening wall system and shall perform examination, supervision, inspection, consultation and training duties.
     第四条  证券公司应当明确董事会,管理层,各部门和分支机构在信息隔离墙制度建立和执行方面的职责。
    证券公司董事会和经营管理的主要负责人对公司信息隔离墙制度的有效性负最终责任各业务部门和分支机构的负责人对本部门和本机构执行信息隔离墙制度的有效性承担责任。
    证券公司合规总监和合规部门协助董事会和管理层建立和执行信息隔离墙制度并负有审查,监督,检查,咨询和培训等职责。
Article 5    A securities company that finds it difficult to avoid conflicts of interest by adopting information screening wall measures shall disclose the conflicts of interest. If it is difficult to effectively handle the conflicts of interest through disclosure, measures such as imposing restrictions on the relevant business shall be adopted.
A securities company that imposes restrictions on the relevant business shall follow the principle of putting clients' interest in the first place and treating clients in a fair manner.
     第五条  证券公司采取信息隔离措施难以避免利益冲突的应当对利益冲突进行披露;披露难以有效处理利益冲突的应当采取对相关业务进行限制等措施。
    证券公司对相关业务进行限制时应当遵循客户利益优先和公平对待客户的原则。
Article 6    All the business departments of the securities company may commence business cooperation among themselves but shall not violate the provisions of the information screening wall system.
     第六条  证券公司各业务部门之间可以开展业务合作但不得违反信息隔离墙制度的规定。
Article 7    The Securities Association of China implements self-discipline management on the establishment and implementation of the information screening wall systems by securities companies.
     第七条  中国证券业协会对证券公司信息隔离墙制度的建立和执行情况进行自律管理。
Chapter 2: General Provisions on the Information Screening Wall System
第二章  信息隔离墙的一般规定
Article 8    A securities company shall manage sensitive information based on the need-to-know principle and shall ensure that only the staff with reasonable business need or the need to perform management duties learn about the sensitive information.
 
     第八条  证券公司应当按照需知原则管理敏感信息确保敏感信息仅限于存在合理业务需求或管理职责需要的工作人员知悉。
Article 9    The staff of a securities company shall not obtain sensitive information without authorization or approval, shall assume the obligation to keep confidential the sensitive information obtained and shall not use the sensitive information to seek improper benefits for themselves or others.
     第九条  证券公司工作人员未经授权或批准不应获取敏感信息对已经获取的敏感信息负有保密义务不应利用敏感信息为自己或他人谋取不当利益。
Article 10    A securities company shall adopt confidentiality measures to prevent the improper flow and use of sensitive information. Such measures shall include but are not limited to:
Signing confidentiality documents with the staff of the company to require the staff to keep confidential the sensitive information they obtain in their work;
Strengthening the management of the information system that involves sensitive information and the information facilities and equipment such as communication and office automation facilities to protect the security of the sensitive information;
Monitoring the emails, the instant messages and other communication information created by the staff that may learn about the sensitive information by using the information system of the company or the equipment allocated by the company.
     第十条  证券公司应当采取保密措施防止敏感信息的不当流动和使用包括但不限于:
    与公司工作人员签署保密文件要求工作人员对工作中获取的敏感信息严格保密;
    加强对涉及敏感信息的信息系统,通讯及办公自动化等信息设施,设备的管理保障敏感信息安全;
    对可能知悉敏感信息的工作人员使用公司的信息系统或配发的设备形成的电子邮件,即时通讯信息和其他通讯信息进行监测。
Article 11    A securities company shall ensure that the office premise and office equipment of the business departments in which conflicts of interest exist are relatively isolated and mutually independent.
A securities company shall monitor and control the entry and exit of the personnel working in the office premise of the business department that has access to sensitive information and require the staff to avoid entering the office premise of the business department that has conflict of interest with their duties.
     第十一条  证券公司应当确保存在利益冲突的业务部门的办公场所和办公设备相对封闭和相互独立。
    证券公司应当对掌握敏感信息的业务部门的办公场所人员进出情况进行监控并要求工作人员避免进入与其职责存在利益冲突的业务部门的办公场所。
Article 12    A securities company shall specify clearly the duties and authorities of the senior management personnel. In principle, the same senior management personnel shall not simultaneously manage two or more business departments in which conflicts of interest exist. The same senior management personnel who simultaneously manages two or more business departments in which conflicts of interest exist shall not directly or indirectly participate in business activities that may result in the conflicts of interest, such as making investment decisions or providing investment consultation concerning specific securities varieties.
The staff of a securities company shall not simultaneously perform duties that may result in the conflict of interest. The staff of the business department shall not simultaneously take up positions in the subsidiary that may have conflicts of interest with their business.
The securities company's institution that makes decisions on the relevant business shall implement the withdrawal system and prevent the conflict of interest that may occur.
     第十二条  证券公司应当明确高级管理人员的职责权限同一高级管理人员原则上不应同时分管两个或两个以上存在利益冲突的业务部门。同一高级管理人员同时分管两个或两个以上存在利益冲突的业务部门的不应直接或间接参与具体证券品种的投资决策,投资咨询等可能导致利益冲突的业务活动。
    证券公司工作人员不应同时履行可能导致利益冲突的职责业务部门工作人员不应在与其业务存在利益冲突的子公司兼任职务。
    证券公司有关业务的决策机构应当实行回避制度防范可能产生的利益冲突。
Article 13    A securities company shall ensure that the information systems of the businesses in which the conflict of interest exist are mutually independent or realize logical isolation.
     第十三条  证券公司应当确保存在利益冲突的业务的信息系统相互独立或实现逻辑隔离。
Article 14    A securities company shall separately manage and shall not mix the operation of the capital, securities and accounts involved in businesses such as the securities proprietary business, the securities asset management business and the business of margin trading and short selling of securities.
     第十四条  证券公司应当对证券自营,证券资产管理,融资融券等业务所涉资金,证券及账户实施分开管理不应混合操作。
Article 15    The securities company's business departments in which the conflict of interest exists shall be the two sides of the information screening wall. The business departments and their staff on the two sides of the information screening wall shall implement cross-wall examination and approval procedures for the exchange of sensitive information.
The staff who need to know the sensitive information due to the need to perform management duties are "on the information screening wall". A securities company shall establish the system for managing the staff on the wall, specify clearly the scope and behavior standard of the staff on the wall and prevent the staff on the wall from using the sensitive information improperly.
     第十五条  证券公司存在利益冲突的业务部门互为信息隔离墙的两侧。处于信息隔离墙两侧的业务部门及其工作人员之间对敏感信息进行交流的应当履行跨墙审批程序。
    因履行管理职责需要知悉敏感信息的工作人员处于信息隔离墙的墙上。证券公司应当建立墙上人员管理制度明确墙上人员的范围及其行为规范防止墙上人员不当使用敏感信息。
Article 16    A securities company shall formulate the cross-wall management system, specify clearly the cross-wall examination and approval procedures and the behavior standard of the staff crossing the wall.
The business department of the securities company that needs other departments to designate staff for cross-wall cooperation shall file an application with the department in which the staff crossing the wall belong and the compliance department in advance and obtain the approval and consent of those departments.
During the cross-wall period, the staff crossing the wall shall not divulge or use in an improper manner the sensitive information they learn about after crossing the wall and shall not obtain sensitive information that is not related to the cross-wall business.
The staff crossing the wall may only get back to the wall after the end of the cross-wall activity and after the sensitive information obtained has been disclosed or no longer has important impact.
     第十六条  证券公司应当制定跨墙管理制度明确跨墙的审批程序和跨墙人员的行为规范。
    证券公司的业务部门需要其他部门派员跨墙协作的应当事先向跨墙人员所属部门和合规部门提出申请并经其审批同意。
    跨墙人员在跨墙期间不应泄露或不当使用跨墙后知悉的敏感信息不应获取与跨墙业务无关的敏感信息。
    跨墙人员在跨墙活动结束且获取的敏感信息已公开或者不再具有重大影响后方可回墙。
Article 17    The relevant departments of the securities company shall cooperate in supervising and managing the behavior of the staff crossing the wall.
The compliance department shall be responsible for recording the cross-wall situations, remind the staff crossing the wall about the standard of cross-wall behavior and monitor and control the behavior of the staff crossing the wall in conjunction with the business department making the application to cross the wall and the department in which the staff crossing the wall belong.
     第十七条  证券公司有关部门应当分工合作对跨墙人员的行为进行监督管理。
    合规部门负责记录跨墙情况向跨墙人员提示跨墙行为规范并会同提出跨墙申请的业务部门和跨墙人员所属部门对跨墙人员行为进行监控。
Article 18    In case of any change in the scope of the management duties of the senior management personnel or any cross-departmental transfer of other staff, the securities company shall adopt corresponding measures to prevent the conflict of interest that may occur.
     第十八条  高级管理人员分管职责范围发生变化或者其他人员跨部门调动的证券公司应当采取相应措施防范可能产生的利益冲突。
Article 19    A securities company shall establish the system of observation lists and restricted lists and specify clearly the content such as the objective of preparing the lists, the cause for and the time of the entry and exit of the relevant company or security into and from a list, the procedures for preparing and managing the lists and the segregation of duties, the scope of staff that have access to the lists, the measures for monitoring, controlling or restricting the relevant business activities and the measures for handling unusual situations.
     第十九条  证券公司应当建立观察名单和限制名单制度明确设置名单的目的,有关公司或证券进入和退出名单的事由和时点,名单编制和管理的程序及职责分工,掌握名单的工作人员范围,对有关业务活动进行监控或限制的措施以及异常情况的处理办法等内容。
Article 20    A securities company that has obtained or may obtain the sensitive information shall include the companies or securities involved in the sensitive information into the observation list. The observation list is a list that shall be kept highly confidential and only the staff performing the relevant management, monitoring and control duties shall learn about the list.
The observation list does not affect the normal operation of business of the securities company. The securities company shall monitor and control the business activities related to the companies or securities that are listed in the observation list and shall investigate and handle unusual situations in a timely manner upon discovery thereof. 
     第二十条  证券公司已经或可能掌握敏感信息的应当将该敏感信息所涉公司或证券列入观察名单。观察名单属于高度保密的名单仅限于履行相关管理和监控职责的工作人员知悉。
    观察名单不影响证券公司正常开展业务。证券公司应当对与列入观察名单的公司或证券有关的业务活动实施监控发现异常情况及时调查处理。
Article 21    A securities company that finds it difficult to effectively manage the conflict of interests by adopting information isolation and disclosure measures shall include the companies or securities involved in the sensitive information into the restricted list. A securities company shall determine the scope for the publication of the restricted list based on its need.
A securities company shall restrict one or more business activities related to the company or security included in the restricted list based on the need to prevent insider dealing and avoid conflicts of interest.
     第二十一条  证券公司采取信息隔离和披露措施难以有效管理利益冲突的应当将敏感信息所涉公司或证券列入限制名单。证券公司应当根据需要确定限制名单的发布范围。
    证券公司应当根据防止内幕交易和避免利益冲突的需要对与列入限制名单的公司或证券有关的一项或多项业务活动实施限制。
Article 22    A securities company discovering that the sensitive information has been divulged shall immediately adopt measures based on the specific situations, such as including the relevant staff in cross-wall management, enabling the disclosure of the sensitive information or restricting the relevant business activities.
     第二十二条  证券公司发现敏感信息泄露的应当视具体情况立即采取将有关工作人员纳入跨墙管理,促使敏感信息公开或对相关业务活动进行限制等措施。
Chapter 3: Provisions of the Information Screening Wall for Specific Business
第三章  具体业务信息隔离墙的规定
Article 23    A securities company shall include the companies or securities involved in the relevant project into the observation list at an appropriate time after the actual contact between the investment banking business department and the client.
For the purposes of the preceding paragraph, the appropriate time shall mean the time the confidentiality agreement is signed with the client, the time the project is initiated, the time the work is commenced, or the time the sensitive information of the project is actually obtained, whichever is the earliest.
     第二十三条  证券公司应当在投资银行业务部门与客户发生实质性接触后的适当时点将相关项目所涉公司或证券列入观察名单。
    前款所称适当时点以与客户签署保密协议,对项目立项,进场开展工作和实际获知项目敏感信息中较早者为准。
Article 24    A securities company shall include the project company and the companies or securities that have major connections with the project company into the restricted list at the following time:
If the securities company acts as the listing guide, the sponsor institution or the lead underwriter for the project of the initial public offering of shares, the time shall be the date of the disclosure of the information that the securities company takes up the above role;
If the securities company acts as the sponsor institution, the lead underwriter or the financial consultant of a re-financing project or a merger, acquisition or restructuring project, the time shall be the date the project company first announces the project.
A securities company may bring forward the time at which the above companies or securities are included in the restricted list based on the actual need but shall not result in the divulgement and improper flow of the sensitive information.
A securities company may delete the project company and the companies or securities that have major connections with the project company from the restricted list after confirming that it no longer possesses the sensitive information related to the project.
     第二十四条  证券公司在以下时点将项目公司和与其有重大关联的公司或证券列入限制名单:
    担任首次公开发行股票项目的上市辅导人,保荐机构或主承销商的为担任前述角色的信息公开之日;
    担任再融资项目或并购重组项目保荐机构,主承销商或财务顾问的为项目公司首次对外公告该项目之日。
    证券公司可以根据实际需要将列入限制名单的时点前移但不应造成敏感信息的泄漏和不当流动。
    证券公司在确认不再拥有与项目有关的敏感信息后可以将该项目公司和与其有重大关联的公司或证券从限制名单中删除。
Article 25    With regard to the companies or securities that are included in the restricted list due to the investment banking business, the securities company shall restrict the business related to these companies or securities, such as the business of publishing securities research reports, the securities proprietary business and the direct investment business, unless otherwise stipulated by the laws, regulations and the regulatory authority.
     第二十五条  对因投资银行业务列入限制名单的公司或证券证券公司应当限制与其有关的发布证券研究报告,证券自营,直接投资等业务法律法规和证券监管机构另有规定的除外。
Article 26    A securities company shall establish the mechanism for the examination of the securities research reports and examine whether the content of the securities research reports involves the companies or securities included in the observation list and the restricted list.
Except under the following situations, a securities company shall not permit anyone to get access to the report or affect the content of the report prior to the publication of the report:
The internal staff of the company conduct quality control or compliance examination of the report and participate in the preparation and publication of the report according to the normal business procedures;
The research target and the relevant staff of the investment banking department of the company only get access to the content of the relevant chapters of the draft of the report for the verification of the facts.
A securities company shall not provide the research target and the investment banking department of the company with chapters containing content such as the research summary, investment ratings or target prices prior to the publication of the report.
 
     第二十六条  证券公司应当建立证券研究报告的审查机制对证券研究报告的内容是否涉及观察名单和限制名单中的公司或证券等进行审查。
    除下列情形外证券公司不应允许任何人在报告发布前接触报告或对报告内容产生影响:
    公司内部有关工作人员对报告进行质量管理,合规审查和按照正常业务流程参与报告制作发布的;
    研究对象和公司投资银行部门有关工作人员为核实事实而仅接触报告草稿有关章节内容的。
    证券公司不应在报告发布前向研究对象和公司投资银行部门提供包括研究摘要,投资评级或目标价格等内容的章节。
Article 27    The measures of the securities company in appraising the performance of and giving incentive to the research department and its research personnel shall not be linked to the results of the business department in which the conflict of interest exists, such as the investment banking department. The business department in which the conflict of interest exists, such as the investment banking department and the person in charge of the administration of the department shall not participate in the appraisal of the researchers.
     第二十七条  证券公司对研究部门及其研究人员的绩效考评和激励措施不应与投资银行等存在利益冲突的业务部门的业绩挂钩。投资银行等存在利益冲突的业务部门及其分管负责人不应参与对研究人员的考评。
Article 28    A securities company shall not permit the business departments in which the conflict of interest exists, such as the securities proprietary department or the securities asset management department to carry out joint research of listed companies, companies to get listed and their affiliated companies or entrust each other with such research.
     第二十八条  证券公司不应允许证券自营,证券资产管理等存在利益冲突的业务部门对上市公司,拟上市公司及其关联公司开展联合调研,互相委托调研。
Article 29    When a particular type of equity securities held by the securities proprietary or securities asset management business reaches a certain proportion of the issuance volume, the securities company shall include the securities into the observation list and where necessary, include the securities into the restricted list.
     第二十九条  当证券自营或证券资产管理业务对某一权益类证券持有量占发行量一定比例时证券公司应当将该证券列入观察名单必要时列入限制名单。
Article 30    A corresponding information isolation mechanism shall be established between the securities company and its subsidiary that engages in the direct investment business. A securities company shall not divulge sensitive information about the project to its subsidiary that engages in the direct investment business so as to provide convenience for the subsidiary's participation in project investment.
When providing securities issuance and sponsor services to the project company in which its subsidiary directly invests, the securities company shall strictly perform the sponsorship obligation, shall be honest and trustworthy, diligent and responsible, and shall not seek any improper benefit through its engagement in the sponsor business.
     第三十条  证券公司及其从事直接投资业务的子公司之间应当建立相应的信息隔离机制。证券公司不应向从事直接投资业务的子公司泄露项目敏感信息为其参与项目投资提供便利。
    证券公司为其子公司直接投资的项目公司提供证券发行保荐服务的应当严格履行保荐义务诚实守信,勤勉尽责不应通过从事保荐业务谋取任何不当利益。
Chapter 4: Management and Monitoring of the Securities Investment Behavior of the Staff
第四章  工作人员证券投资行为管理和监控
Article 31    A securities company shall establish a system for managing the securities investment behavior of the staff, prevent staff from engaging in securities investment in violation of the rules or using the sensitive information to seek improper benefit.
     第三十一条  证券公司应当建立工作人员证券投资行为管理制度防范工作人员违规从事证券投资或者利用敏感信息谋取不当利益。
Article 32    A securities company shall specify clearly the securities and investment products that the staff may or may not trade in accordance with the provisions of the laws and regulations and based on the need to prevent insider dealing and conflicts of interest.
     第三十二条  证券公司应当按照防范内幕交易和利益冲突的需要根据法律法规的规定明确工作人员可以买卖或者禁止买卖的证券和投资产品。
Article 33    A securities company shall strengthen the management of the securities accounts of the staff. If a staff opens a securities account, the staff shall be required to designate the trading or custodian account in the company or declare his securities account and regularly provide trading records.
 
     第三十三条  证券公司应当加强工作人员证券账户管理。工作人员开立证券账户的应当要求工作人员在本公司指定交易或托管或者申报证券账户并定期提供交易记录。
Article 34    A securities company shall monitor and control the trading status of the securities accounts of its staff or examine the trading records submitted by its staff. Upon discovery of any suspected rule-breaking trading behavior, the securities company shall investigate and handle the case in a timely manner and shall report to the securities regulatory authority and the Securities Association of China in accordance with the relevant provisions.
     第三十四条  证券公司应当对工作人员证券账户的交易情况进行监控或对工作人员提交的交易记录进行审查。发现涉嫌违规交易行为的及时调查处理并按照规定向证券监管机构和中国证券业协会报告。
Chapter 5: Supplementary Provisions
第五章  附则
Article 35    A securities company that implements integrated management on its subsidiary or has close contact with the personnel of the subsidiary or close business dealings with the subsidiary shall adopt measures in accordance with the provisions of these Guidelines to prevent conflicts of interest with the business of the subsidiary.
     第三十五条  证券公司对子公司实行一体化管理或者与子公司人员,业务往来密切的应当参照本指引的规定采取措施防范与子公司业务之间的利益冲突。
Article 36 &n,bsp;  The Securities Association of China shall be responsible for the interpretations of these Guidelines.
     第三十六条  本指引由中国证券业协会负责解释。
Article 37    These Guidelines shall come into force on January 1, 2011.
 
     第三十七条  本指引自2011年1月1日起施行。

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