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重大负面扣分近乎归零!券商投行评价办法升级“红线”
2 1 Shi Ji Jing Ji Bao Dao· 2026-01-01 06:02
21世纪经济报道 实习生 张长荣 记者 崔文静 证券公司投行业务评价体系迎来又一次关键性调整。 12月30日,中国证券业协会修订发布《证券公司投行业务质量评价办法》(以下简称《评价办法》),并自发布之日起施行。 这也是该办法自2022年首次发布、2023年修订以来的第二次系统性调整。 其中,在"执业质量评价"中分值占比最高的股票保荐业务成为修订重点。此次修订明确了股票保荐业务评价的项目范围,跨年 度项目与顺延项目的处理规则也同步厘清。 评价标准层面,修订方案整体收紧、导向更严。对触及合规底线的重大负面事项,实施接近"清零式"的扣分处理,并对终止审 核、监管处罚、自律处分等情形进一步加大扣分力度,同时拉开不同违规层级之间的扣分梯度。与此同时,对一般执业质量问 题的扣分上限则有所下调,增强了评价结果的区分度和合理性。 "内部控制评价"部分,本次修订通过细化项目收费约束、引入负面舆情扣分机制等,进一步提升内控规则的刚性约束力。 在严考核的另一端,评价体系也更加注重正向激励。在"评价调整"中,本次修订通过优化服务国家战略指标、新增并购重组支 持、新股定价与投资价值研究等加分项,引导券商在提升专业能力和服务实体经济方面 ...
无论在哪上班:做到这10点,你就能顺风顺水
洞见· 2025-07-22 09:56
Core Viewpoint - The article emphasizes the importance of personal growth and adaptability in the workplace, suggesting that enduring challenges and continuously learning are essential for career advancement [9][10]. Group 1 - Enduring workplace challenges is a common experience, and individuals must develop resilience to navigate these situations effectively [12][16]. - Changing jobs does not eliminate challenges; personal growth and the ability to handle adversity are crucial [18][20]. - Seeking help and learning from experienced colleagues can significantly enhance problem-solving capabilities [25][27]. Group 2 - Maintaining a sense of responsibility and actively seeking work, even without direct assignments, is vital for career success [35][36]. - Innovation and attentiveness to customer needs can lead to significant career advancements, as demonstrated by the story of a service worker who proposed valuable changes [39][44]. - A strong work ethic and a focus on continuous improvement are essential for long-term career growth [46][48]. Group 3 - Understanding workplace dynamics and being sensitive to the emotions of others can prevent conflicts and foster better relationships [51][59]. - The rapid evolution of job skills due to technological advancements necessitates continuous learning to remain relevant in the workforce [63][68]. - Quality of work and the ability to think critically are more important than mere busyness in achieving career success [72][75]. Group 4 - Experience alone does not guarantee success; actively reflecting on and learning from experiences is what transforms them into valuable insights [88][92]. - Authenticity and sincerity in interpersonal relationships are crucial for building a positive reputation in the workplace [95][99]. - Understanding and navigating workplace rules can significantly enhance opportunities for promotions and salary increases [101][102].
没资源、没背景、没名气的新人律师,怎么摆脱现状?
梧桐树下V· 2025-07-17 14:20
Core Viewpoint - The article emphasizes that success in the legal profession is not determined by initial advantages but rather by the development of professional skills and capabilities over time [2][5]. Group 1: Challenges in the Legal Profession - Many new lawyers feel disadvantaged due to a lack of background and resources, leading to a perception of being at a disadvantage from the start [2]. - The legal industry does not have a clear starting line; success is based on experience and the ability to handle cases effectively [3]. Group 2: Importance of Professional Development - Clients prioritize a lawyer's experience, the number of cases handled, and their success rate, rather than their initial resources [5]. - New lawyers are encouraged to focus on building their professional skills and understanding how seasoned lawyers manage their careers and client relationships, rather than just seeking case sources [6]. Group 3: Training Program Overview - A 27-day training program is introduced, aimed at enhancing practical legal skills and knowledge [7]. - The program includes various topics such as self-management, professional qualities, risk assessment, and effective communication skills [11][12][13]. - Participants can earn rewards for completing tasks, including cash incentives and access to useful legal templates [9][12].