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china securities journal·csi taurus reporter learned exclusively from the industry on october 1 that relevant regulatory authorities have recently issued notices in the industry, requiring industry agencies and market operators to strictly fulfill the relevant work requirements for statutory integrity file inquiry obligations and strengthen the supervision of capital market operations. constraints on breach of trust by subjects and practitioners.

it is reported that in accordance with regulatory requirements, securities and futures and other operating institutions should inquire about the investor's integrity files when opening securities and futures-related accounts for investors. they can also obtain relevant integrity information based on feedback provided by china clearing and clearing co., ltd., and prohibit access to transactions involving the entity strictly implements the corresponding transaction restriction measures after opening an account. brokerages can check the customer's integrity file when handling applications for customer securities pledged repurchase, agreed-upon repurchase, and margin financing and securities lending business. those who fail to perform statutory inquiry obligations in key regulatory areas such as the punishment of entities related to financial fraud of listed companies and the hiring of certified public accountants will be severely punished in accordance with the law.

the reporter learned that the regulatory authorities require all market operators to attach great importance to the integrity construction of the capital market, conscientiously organize and study the "integrity supervision and management measures for securities and futures markets", enhance awareness of the importance of integrity work, and fully understand and master the integrity file database and integrity information query. , integrity constraints and incentives and other relevant regulations and requirements. market operating entities must cherish their own integrity records, constantly improve internal integrity supervision and restraint mechanisms, establish and improve a working mechanism for normalized inquiry of integrity files, strictly fulfill their obligations to inquire integrity files in accordance with the law, actively declare and enter positive integrity information, and further improve the level of integrity work.

all market business entities should strictly fulfill their statutory integrity file inquiry obligations when carrying out relevant business activities. when opening securities and futures-related accounts for investors and customers, securities and futures and other operating institutions shall inquire about the integrity files of investors and customers; all listed companies, neeq-listed companies, companies to be listed, securities and futures fund operating institutions, accountants securities and futures service institutions such as firms, law firms, asset appraisal institutions, and investment consulting institutions that intend to appoint directors, supervisors, senior managers, and employees shall inquire about the integrity files of the persons to be appointed; securities business institutions and securities service institutions are entrusted with when providing securities services to issuers, listed companies, companies listed on the national equities exchange and quotations, etc., the integrity files of the clients shall be inquired; securities business institutions shall handle customer securities pledged repurchase, agreed repurchase and margin financing and securities lending business. when applying, you can review the client's integrity file.

it should be noted that when handling the above-mentioned integrity information inquiry matters, each market operating entity must apply to the relevant china securities regulatory bureau or the relevant department of the china securities regulatory commission in accordance with established channels and procedures, and shall not use the securities and futures market illegal and untrustworthy information disclosure inquiry platform without authorization. the online query method replaces the formal process. among them, during the securities and futures account opening process, relevant operating institutions can obtain relevant integrity information based on the feedback provided by china clearing, and strictly implement corresponding transaction restrictions after account opening for entities involved in transaction prohibitions.

in addition, regulatory authorities will carry out targeted on-site inspections in accordance with relevant regulations, inspect and provide guidance on the performance of inquiry obligations by market operators and the establishment of internal integrity supervision and restraint mechanisms. business entities that violate regulations and fail to perform legal obligations will be recorded in integrity files in a timely manner. in particular, those who fail to perform statutory inquiry obligations in key regulatory areas such as the punishment of entities related to financial fraud of listed companies and the hiring of certified public accountants will be severely punished in accordance with the law.