交易商协会：从严从重处理债券交易记录保存违规行为

Core Viewpoint - The China Interbank Market Dealers Association has issued a notice emphasizing the importance of maintaining proper bond trading record-keeping practices, highlighting widespread issues of internal control deficiencies and compliance failures among institutions [1] Summary by Categories Regulatory Concerns - The notice indicates that many institutions have failed to establish and maintain adequate internal control systems for bond trading record-keeping [1] - There is a noted prevalence of compliance and risk management practices that are merely formal, lacking effective implementation [1] Violations and Penalties - Institutions that do not comply with record-keeping requirements will face stricter penalties, with disciplinary actions tailored to the severity of the violations [1] - Specific violations include: - Failure to establish proper internal control systems for bond trading record-keeping [1] - Ineffective implementation of record-keeping protocols [1] - Incomplete transaction records that do not meet regulatory standards [1] - Inability to provide complete trading records for transactions suspected of serious violations [1] - Other behaviors that contravene bond trading record-keeping requirements [1] Importance of Compliance - The notice stresses that robust internal controls and accurate, comprehensive record-keeping are fundamental requirements of the bond market and essential obligations for market participants [1] - The association will continue to enhance management practices to promote a healthy and orderly market development [1]