中证协通报！有人买卖证券执业信息，骗取社交平台认证→

Core Points - The China Securities Association (CSRC) has reported the second batch of self-discipline disciplinary cases for the year, highlighting serious violations by industry professionals [1] Group 1: Misuse of Professional Registration Information - Some industry professionals were found to have lent their professional registration information for monetary compensation, which was used for WeChat video account certification [2] - The CSRC emphasized that lending registration information violates the principles of honest practice and compliance, misleading investors and undermining market integrity [2] Group 2: Use of False Materials for Registration - An employee from A Investment Consulting Company was reported for using a false resignation certificate to change their professional registration, circumventing the required two years of experience [3] - The CSRC stated that such actions severely erode the integrity of the securities market and aim to ensure that professionals meet both capability and ethical standards [3] Group 3: Compensation Linked to Project Revenue - A securities company was found to have a performance bonus system directly linked to project revenue, which is against the CSRC's guidelines [4] - The CSRC aims to prevent excessive incentives that could lead to systemic risks and emphasizes the need for a balanced incentive system that considers compliance and long-term value [4] Group 4: Cultural Construction Issues - Several issues related to cultural construction were reported, including a securities company failing to accurately self-evaluate its employee handbook, which was not yet effective during the evaluation period [5][6] - The CSRC highlighted the importance of objective self-assessment and the need for internal supervision to ensure the effectiveness and independence of self-evaluation results [6][7]