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《指引》积极影响深远
记者注意到,该《指引》是继2008年协会发布《证券公司合规管理试行规定》9年后,证券业协会再次对证券公司合规管理进行规定。业内人士称,此次《指引》发布主要有两方面的原因。首先,《指引》的发布是对上述管理办法的细化,之前的试行规定是规范性文件,此次是正式下发的文件,目的在于加强证券公司的合规工作。其次,此前召开的金融工作会议也对监管提出了严格要求,加强监管和严格防范金融风险是现阶段的潮流,因此目前对合规管理加强监管。
另一方面,证监会曾推出《证券经营机构投资者适当性管理实施指引》,为了配合相关政策的实施,需要证券公司把合规管理工作落到实处,否则相关具体工作不能顺利展开。
“合规才有未来,合规才能创造价值。”上述业内人士向记者表示,《指引》的出台对公司未来的影响是积极的。比如《指引》中提到证券公司新业务的上线要进行合规审查,对整个证券行业的发展是有利的。从另一个角度来看,《指引》也表明监管对合规人员工作的实施提供了一定的保障,如果未来证券公司的合规工作还无法顺利展开,那么监管可能会加强处罚或者甚至撤销资格。
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