1月5日，中国银行间市场交易商协会(以下简称"交易商协会")发布通知，提示市场成员做好债券交易记 录保存相关工作。 经了解，近一段时间以来，交易商协会在相关业务检查和自律调查过程中发现，部分机构内控缺失、合 规风控流于形式，且一些机构未按要求保存债券交易记录的问题较为普遍，严重阻碍还原交易真相，不 利于有效监管和打击违法违规。 针对上述情形，交易商协会表示，将加大对相关违规行为的惩戒力度。对存在问题的机构将从严从重处 理，根据具体违规行为的情节轻重给予相应自律处分。 具体而言，涉及违规行为主要包括五类： 一、未按规定建立健全债券交易记录保存相关内控制度； 二、合规风控流于形式，未有效落实债券交易记录保存相关内控制度； 三、债券交易记录未按规定全程留痕； 四、对涉嫌严重违法违规的交易，无法提供完整交易记录还原交易真相； 五、其他违反债券交易记录保存相关要求的行为。 按要求完整、准确、全面保存交易记录是债券市场的基本制度要求，也是市场参与者的重要义务。各市 场参与机构应高度重视，健全夯实内控，切实提高合规意识和履职水平。 交易商协会表示，将持续强化相关管理，促进市场健康有序发展。 ...

Core Points - Tianjin Binhai Rural Commercial Bank was found to have engaged in transactions involving its own issued subordinated capital bonds through a single asset management plan, violating regulatory requirements and disrupting normal market trading order [1] Group 1: Regulatory Actions - The China Interbank Market Dealers Association issued a warning to Tianjin Binhai Rural Commercial Bank following a self-discipline meeting [1] - The bank is required to conduct a comprehensive and in-depth rectification regarding the compliance issues exposed by this incident [1]

Group 1 - The China Interbank Market Dealers Association issued self-discipline penalties involving five entities, including Tianjin Binhai Rural Commercial Bank and Shanghai Dingling [1] - Tianjin Binhai Rural Commercial Bank was found to have engaged in transactions of its own issued bonds through a single asset management plan, violating regulatory requirements and disrupting market order [1] - Shanghai Dingling Private Fund Management Company was penalized for assisting an issuer in non-market-based debt financing and charging significant financial support fees [1]