交易商协会：将加大对未按要求保存债券交易记录相关违规行为的惩戒力度

Core Viewpoint - The China Interbank Market Dealers Association has issued a notice emphasizing the importance of proper record-keeping for bond transactions, highlighting widespread issues of internal control deficiencies and compliance failures among institutions [1] Group 1: Compliance and Internal Control - The association has identified that many institutions have not established adequate internal control systems for preserving bond transaction records, which is a fundamental requirement of the bond market [1] - There is a prevalent issue of compliance and risk management being superficial, leading to ineffective implementation of record-keeping protocols [1] - Institutions failing to maintain complete transaction records hinder the ability to reconstruct transaction truths, which is detrimental to effective regulation and the fight against illegal activities [1] Group 2: Enforcement and Penalties - The association plans to intensify penalties for institutions that violate record-keeping requirements, with disciplinary actions tailored to the severity of the infractions [1] - Specific violations include failure to establish proper internal control systems, ineffective compliance measures, and inability to provide complete transaction records for serious violations [1] - The association stresses that all market participants must enhance their compliance awareness and performance levels to ensure a healthy and orderly market development [1]