中证协拟规范证券从业人员投资行为

Core Viewpoint - The China Securities Association is seeking industry feedback on the draft guidelines for managing the investment behaviors of directors, supervisors, senior management, and securities practitioners in securities companies, aiming for comprehensive coverage of personnel management and behavior management [1] Group 1: Guidelines Overview - The draft guidelines encompass all personnel involved in securities business, including directors, supervisors, senior management, and other staff who may have access to insider or non-public information due to their job responsibilities [1] - The guidelines also extend to staff working in alternative investment subsidiaries and private equity fund subsidiaries of securities companies, establishing specific management regulations for these groups [1] Group 2: Management Process - The guidelines require effective coverage of the entire investment behavior management process, including investment declaration, registration, review monitoring, verification, disposal, punishment, reporting, and inspection [1]