券业版征信系统更新在即 证券公司先行赔付可豁免“入库”

Core Viewpoint - The China Securities Association (CSA) is revising the "Securities Industry Practitioner Reputation Information Management Measures" to enhance the management mechanism for the industry's reputation information, marking the first adjustment since its implementation three years ago [1][2]. Group 1: Revision Details - The revision includes the categorization of bribery-related interference in regulatory enforcement as a form of unlawful dishonesty, which will be recorded in the reputation information database [1][3]. - A new provision allows securities firms to avoid having penalty information recorded in the reputation database if they proactively compensate investors for losses through a preemptive compensation mechanism [3][4]. Group 2: Information Management System - The reputation information management system is designed to comprehensively collect both positive and negative information about securities institutions and practitioners, functioning similarly to a credit system for the industry [2][3]. - The system has established a full-process management mechanism covering the collection, management, inquiry, application, and correction of reputation information [2]. Group 3: Types of Information Recorded - The reputation information includes basic identification information, integrity information, and other reputation-related information [4][5]. - Integrity information consists of commendations and awards, as well as unlawful dishonesty records, including administrative penalties and disciplinary actions [5][6].