鹏扬基金宋震：以金融文化筑牢信义根基保护投资者合法权益

Core Viewpoint - The Fourth Plenary Session of the 20th Central Committee of the Communist Party of China outlines the main goals for economic and social development during the "15th Five-Year Plan" period, emphasizing high-quality development in the economy and capital markets, which raises new requirements for the public fund industry [1][2]. Group 1: Industry Development Goals - The "15th Five-Year Plan" marks a critical period for achieving socialist modernization and accelerating the construction of a financial power, with the public fund industry expected to fully understand and implement the new directives from the plenary session [2]. - The public fund industry is encouraged to align its operations with national strategies, emphasizing responsible investment and risk prevention to protect investors' legitimate interests while supporting high-quality development of the real economy [1][2]. Group 2: Financial Culture and Ethics - The core ethical principle of the financial industry, known as fiduciary duty, emphasizes integrity, responsibility, and long-term value, which is a vital part of the Chinese financial culture [3]. - The public fund industry must integrate fiduciary responsibility into all operational processes, ensuring that investor interests are prioritized and that professional diligence is maintained throughout investment research, sales, and operations [3]. Group 3: Risk Management and Compliance - The company has established a comprehensive risk awareness culture and internal compliance training system to protect investors' rights, utilizing innovative methods such as AI to enhance training effectiveness [4][5]. - A robust legal compliance framework is in place to ensure that compliance management covers all operational aspects, with a zero-tolerance policy for non-compliance [5]. Group 4: Technology and Innovation - The company is leveraging financial technology to enhance risk management and innovation, focusing on building an integrated investment research system supported by big data and AI [6]. - Efforts are being made to automate information disclosure processes to improve compliance efficiency and reduce operational risks [6][7]. Group 5: Intellectual Property Protection - The company has developed a multi-dimensional protection system for intellectual property, including copyright protection for financial data models and research reports, as well as patent protection for core technologies [7]. - Financial technology is being utilized to enhance legal compliance and data security, ensuring that the company adheres to regulations while protecting investors' rights [7].