为进一步加强协会自律管理职责，提高自律检查处分的工作质效，根据中国证监会关于进一步加强证券 基金经营机构监管协作、提高监管效能等有关安排，协会优化调整自律检查处分工作机制，对《中国证 券业协会自律措施实施办法》相关内容进行了修订，已经协会第七届理事会第四十一次会议表决通过， 并向证监会备案，现予发布，自发布之日起施行。 附件：1． 《中国证券业协会自律措施实施办法》 2． 关于《中国证券业协会自律措施实施办法》的修订说明 中国证券业协会 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 关于发布《中国证券业协会自律措施实施办法》的通知 来源：中国证券业协会 中国证券业协会自律措施实施办法 第一章 总 则 第一条 为规范中国证券业协会（以下简称"协会"）自律检查处分工作，保障自律管理对象正当权利， 引导行业诚信合规展业，根据《中华人民共和国证券法》、行政法规、监管规定和《中国证券业协会章 程》（以下统称"授权规定"）等，制定本办法。 第二条 协会对自律管理对象进行检查、调查，对违反授权规定、行业自律规则或业务规范（以下简 称"违规"）的情况实施自律措施、工作措施，适用本办法。 本办法所称 ...

Core Viewpoint - The China Securities Association has drafted the "Guidelines for the Management of Investment Behavior of Directors, Supervisors, Senior Management, and Securities Practitioners (Trial) (Draft for Comments)" to strengthen self-regulation in the industry [1][2] Group 1: Management of Investment Behavior - The guidelines aim to establish comprehensive and systematic management of investment behavior for securities practitioners, prohibiting direct or indirect trading of stocks or securities using insider or undisclosed information [1] - The guidelines require that all personnel, including those in administrative roles, be subject to investment behavior management [1] Group 2: Monitoring and Enforcement - Securities firms must clearly define the scope and standards for monitoring, including tracking key information such as phone numbers and IP addresses to prevent violations through related parties [2] - The China Securities Association will impose strict penalties for violations, including recording infractions in the industry reputation database and referring serious cases to regulatory authorities [2] - The implementation of these guidelines is expected to create a long-term mechanism that discourages illegal trading practices among practitioners, promoting compliance and ethical behavior [2]