积极培育中国特色金融文化从源头预防证券基金领域犯罪

Core Viewpoint - The article emphasizes the importance of combining rule of law and moral governance to promote high-quality financial development and build a strong financial nation in China. It highlights the need for a robust financial culture to prevent financial crimes and enhance international competitiveness [1]. Group 1: Financial Crime Statistics - From January 1, 2022, to June 30, 2025, approximately 207 financial crime cases involving securities and fund practitioners have been adjudicated or investigated, with business-related crimes being the most prevalent [1][2]. - Business-related crimes accounted for 181 cases (87%), with the most common being illegal public deposit absorption (167 cases). In contrast, there were 26 cases of integrity-related crimes, primarily involving bribery (14 cases) [2]. - The total number of financial crimes has significantly decreased from 116 cases in 2022 to 10 cases in the first half of 2025, largely due to a decline in business-related crimes [3]. Group 2: Characteristics of Financial Crimes - The majority of defendants in these cases were male, with a significant portion holding higher education degrees, particularly in integrity-related crimes where 78.57% had master's or doctoral degrees [3][7]. - The amount involved in these crimes is substantial, with 98.4% of cases exceeding 1 million yuan, and the highest amount recorded was 6.7 billion yuan for illegal public deposit absorption [4]. - "Wang cases" and collusion between internal and external parties are prevalent, with 70.05% of cases involving multiple defendants [5][6]. Group 3: Cultural and Ethical Issues - The article identifies the distortion of industry values and the lack of professional ethics as significant cultural factors contributing to financial crimes [8]. - The prevalence of "Wang cases" in the private equity sector indicates a weak compliance culture and a lack of legal awareness among practitioners [8][9]. - The misinterpretation and reliance on "unwritten rules" lead to frequent violations of laws and regulations [8]. Group 4: Recommendations for Improvement - A comprehensive approach to industry culture building is necessary, covering all levels of the securities and fund industry, including small and medium-sized private equity firms [9][10]. - Strengthening legal awareness and establishing a robust system of professional ethics and conduct guidelines are crucial for enhancing industry culture [9][10]. - Targeted education and training for key personnel, particularly in high-risk positions, are essential to foster a culture of integrity and compliance [10][11].