本次《实施办法》的修订，以强化职能、优化机制、提升效能为主线，重点围绕三个方面展开。一是推进自律检查处分与 业务管理结合。充分发挥中证协业务管理部门专业优势，增强自律检查的自主性和灵活性，强化业务管理部门的查审职能，提 升案件查办质量，增强自律检查结果在促进行业业务规范开展等方面的作用。二是畅通自律处分查审衔接。推进案件繁简分 流，建立灵活高效、有效制衡的自律检查处分工作安排，保证案件处理公平公正的同时，进一步提升案件查办效率。三是完善 自律检查处分工作标准。深化自律查处工作统筹协调，明确自律查处程序、纪律要求，健全行业专家参与自律管理的工作机 制，细化与行政监管的协同配合，形成查处工作合力。 本报记者 周尚伃 为进一步加强自律管理职责，提高自律检查和自律措施实施（以下简称"自律检查处分"）的工作质效，中国证券业协会 （以下简称"中证协"）于近日正式修订并发布《中国证券业协会自律措施实施办法》（以下简称《实施办法》）。这是继2025 年发布《中国证券业协会关于加强自律管理推动证券业高质量发展的实施意见》后，中证协在完善自律管理体系方面的又一实 质性举措。 从修订背景来看，自2019年底中证协正式确立"查审分离 ...

三是完善自律检查处分工作标准。明确自律检查处分的程序、纪律要求，健全行业专家参与工作机制， 细化与行政监管的协同配合安排，形成监管合力。(完) （文章来源：中国新闻网） 中新网北京1月9日电 (记者陈康亮)中国证券业协会(下称中证协)9日发布消息称，中证协对《中国证券 业协会自律措施实施办法》(下称《实施办法》)进行了修订，进一步强化自律管理职能，优化自律检查 处分工作机制，《实施办法》自发布之日起实施。 据介绍，《实施办法》共八章九十三条，修订主要包括以下三个方面：一是推进自律检查处分与业务管 理结合。强化业务管理部门的查审职能，提升案件查办质量，增强自律检查结果在促进行业业务规范开 展等方面的作用。 二是畅通自律处分查审衔接。实行案件繁简分流，完善自律检查处分工作机制，进一步保障案件公平公 正处理和提升案件查办效率。 ...

Core Viewpoint - The core viewpoint of the news is that the China Securities Association (CSRC) has developed the "Implementation Opinions" to enhance self-regulation and promote high-quality development in the securities industry, emphasizing a shift from "license-driven" to "capability-driven" operations [1][2][3]. Group 1: Implementation Opinions Overview - The "Implementation Opinions" consist of 28 measures across seven areas, including improving the self-regulation system, enhancing self-regulation in sponsorship and underwriting, and promoting service functions [2][3]. - The focus is on guiding securities firms to prioritize functionality over mere operational aspects, marking a new trend in the industry [1][5]. Group 2: Functional Emphasis - The emphasis on functionality is highlighted as a key trend, with securities firms expected to explore new avenues in fulfilling their roles as financial institutions [5][6]. - Specific measures include supporting technological innovation and integrating financial strategies into long-term business plans to aid the development of a modern industrial system [6][7]. Group 3: Risk Management and Compliance - The "Implementation Opinions" stress the importance of enhancing compliance and risk management frameworks, including the establishment of a comprehensive risk management system [7][8]. - There is a call for improved reputation risk management and the promotion of a strong financial culture to enhance the industry's social reputation [7][8]. Group 4: Market Impact - Analysts believe that the "Implementation Opinions" will lead to more professional, efficient, and compliant services from institutions, thereby better meeting the diverse needs of investors and stabilizing market expectations [8].

Core Viewpoint - The article discusses the implementation of the "Implementation Opinions" by the China Securities Association aimed at enhancing self-regulation and promoting high-quality development in the securities industry [2][4]. Group 1: Self-Regulation Management - The "Implementation Opinions" aim to establish a self-regulation management system that aligns with the high-quality development of the securities industry, optimizing member services and enhancing compliance and risk management [4][13]. - Key measures include improving the self-regulation management system, enhancing the management of sponsorship and underwriting businesses, and strengthening the association's internal structure and member management [4][5]. Group 2: Enhancing Sponsorship and Underwriting - The document emphasizes the need for securities companies to improve their sponsorship, underwriting, and pricing capabilities, and to optimize the management of offline investors [5][6]. - It includes detailed rules for underwriting self-regulation, enhancing the pricing ability of underwriters, and ensuring accountability in sponsorship and underwriting [5][6]. Group 3: Development of First-Class Investment Banks - The "Implementation Opinions" outline a strategy for the development of first-class investment banks and investment institutions, focusing on providing high-quality financial products and services [7][8]. - It encourages securities companies to support the development of new productive forces and to integrate these goals into their long-term business strategies [8][9]. Group 4: Compliance and Risk Management - The document stresses the importance of strengthening compliance and risk management systems within securities companies, enhancing risk monitoring and response mechanisms [13][14]. - It highlights the need for improved transparency in off-market transactions and the establishment of a risk monitoring database [13][14]. Group 5: Industry Reputation and Culture - The "Implementation Opinions" call for enhanced management of public opinion and reputation risks, promoting a positive image of the securities industry [14][12]. - It emphasizes the importance of fostering a distinctive financial culture in China and improving the social reputation of the industry [12][14].