国联证券：践行“五要五不”，探索特色文化培育新路径

Core Viewpoint - The introduction of "Chinese Financial Culture" and the "Five Musts and Five Must Nots" principles aims to enhance the ethical standards and operational behaviors of financial professionals and institutions, guiding the cultural development of the financial industry [1] Group 1: Cultural Development - The company recognizes the importance and urgency of cultivating Chinese Financial Culture and actively integrates the "Five Musts and Five Must Nots" into its operations [1][2] - The company is implementing a three-year cultural construction plan and a cultural brand construction plan, merging positive guidance with bottom-line constraints to enhance cultural quality and efficiency [2] - Various cultural activities are organized to promote understanding of the "Five Musts and Five Must Nots" among employees, ensuring they become advocates and defenders of financial culture [3] Group 2: Governance and Management - The company integrates the "Five Musts and Five Must Nots" into its governance framework, ensuring these principles guide employee behavior and serve as red lines [4] - In strategic orientation, the company balances functional and profitability goals, incorporating compliance risks and local economic contributions into annual objectives [4] - The company has established a task force led by top management to ensure steady and prudent development during reforms [4] Group 3: Business Operations - The company emphasizes compliance checks and monitoring in its business management to create a proactive compliance risk prevention system [4] - Employee management focuses on investment behavior, ensuring adherence to ethical standards and enhancing professional capabilities to better serve community financial needs [5] Group 4: Financial Contributions - In the first three quarters of the year, the company supported technological innovation and rural revitalization, issuing various bonds and financial products to stimulate economic growth [8] - The company accelerated its wealth management transformation, achieving significant growth in its margin financing business and maintaining a leading position in the industry [9] - The company actively engages in social responsibility initiatives, contributing to rural revitalization and conducting financial education activities [9] Group 5: Future Outlook - The company plans to further implement the "Five Musts and Five Must Nots" principles, focusing on enhancing the quality of services to the real economy and contributing to the development of a high-quality capital market [10]