东北证券：构建廉洁从业新生态 为业务发展装上“安全阀”

Core Viewpoint - The financial industry is crucial for national economic stability, and the ongoing anti-corruption efforts in the financial sector are essential for building a clean and fair development environment in the securities industry [1] Institutional Framework - Northeast Securities emphasizes the importance of a robust institutional framework for maintaining integrity in operations, adhering to regulations, and establishing a multi-layered system of rules to clarify responsibilities and prohibited behaviors [1][2] - The company has implemented a dynamic revision mechanism to ensure that its regulations remain relevant and effective in addressing industry risks [2] Cultural Development - The cultivation of a clean culture is seen as the soul of integrity construction, with Northeast Securities focusing on internalizing integrity values among employees through diverse educational initiatives [3] - The company tailors training programs for different employee groups to ensure effective communication of integrity principles [3] Risk Control - Northeast Securities adopts a comprehensive risk control system that includes prevention, management, and accountability, ensuring that risk management is integrated into all business activities [4] - A multi-departmental collaboration mechanism has been established to create a closed-loop system for risk prevention, involving all employees in the process [4] Accountability and Reporting - The company conducts annual integrity assessments to identify issues and promote accountability, ensuring that corrective actions are taken effectively [5] - A whistleblower mechanism has been put in place to encourage employee reporting of misconduct, with a commitment to handle all reports promptly and fairly [6] Targeted Strategies - Northeast Securities focuses on high-risk areas within the securities industry, implementing precise measures to mitigate risks associated with financial reimbursements, third-party hiring, and the misuse of power for personal gain [7] - The company has established strict controls and oversight processes for financial reimbursements and third-party engagements to prevent potential integrity violations [7] Future Outlook - The company aims to continue enhancing its integrity management practices, transforming integrity principles into collective actions among employees, and contributing to a clean and fair industry environment [8]