上證(zheng)(zheng)報中(zhong)國證(zheng)(zheng)券(quan)網訊 據中(zhong)國證(zheng)(zheng)券(quan)業(ye)協會12月1日消息，為貫徹落(luo)(luo)實中(zhong)央金融(rong)工作(zuo)會議精神，有效防范(fan)化解金融(rong)風(feng)(feng)險(xian)(xian)(xian)，推動證(zheng)(zheng)券(quan)公司(si)落(luo)(luo)實全面風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)要(yao)求(qiu)(qiu)，提升(sheng)操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)水平，中(zhong)國證(zheng)(zheng)券(quan)業(ye)協會（以下簡(jian)稱“協會”）依托風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)專業(ye)委(wei)員會，深入調研行(xing)(xing)業(ye)操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)現狀(zhuang)，分(fen)析操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)發展趨勢，借鑒境內(nei)外金融(rong)監(jian)管(guan)(guan)經驗(yan)，在充分(fen)征(zheng)求(qiu)(qiu)監(jian)管(guan)(guan)部門和(he)行(xing)(xing)業(ye)意見建議的基礎上，制定發布《證(zheng)(zheng)券(quan)公司(si)操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)指(zhi)(zhi)引(yin)》（以下簡(jian)稱《指(zhi)(zhi)引(yin)》），指(zhi)(zhi)導證(zheng)(zheng)券(quan)公司(si)規范(fan)操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)管(guan)(guan)理(li)行(xing)(xing)為，加強(qiang)對各類操(cao)(cao)作(zuo)風(feng)(feng)險(xian)(xian)(xian)事件的防控與應對。

　　《指引》共七章、三十(shi)七條，涵蓋證(zheng)券公(gong)司(si)操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)全流程。結(jie)(jie)合(he)證(zheng)券行(xing)業(ye)實際，《指引》對重點領域提出(chu)指導意(yi)見，一(yi)是(shi)強調操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)統籌與(yu)協作(zuo)，要(yao)求證(zheng)券公(gong)司(si)各(ge)職能(neng)(neng)部(bu)門(men)在負責(ze)管(guan)理(li)(li)(li)(li)(li)(li)本職能(neng)(neng)領域操(cao)作(zuo)風(feng)險(xian)(xian)(xian)的(de)(de)同時，應(ying)(ying)為(wei)操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)牽頭部(bu)門(men)提供管(guan)理(li)(li)(li)(li)(li)(li)支持(chi)；二是(shi)對操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)工具(ju)的(de)(de)應(ying)(ying)用給予一(yi)定靈(ling)活性，且應(ying)(ying)以發揮(hui)管(guan)理(li)(li)(li)(li)(li)(li)工具(ju)實效為(wei)目的(de)(de)進(jin)行(xing)完善(shan)、優(you)化；三是(shi)整(zheng)合(he)、梳理(li)(li)(li)(li)(li)(li)境(jing)內外操(cao)作(zuo)風(feng)險(xian)(xian)(xian)典型(xing)案例(li)和(he)行(xing)業(ye)經驗(yan)，總(zong)結(jie)(jie)形成操(cao)作(zuo)風(feng)險(xian)(xian)(xian)控制與(yu)緩釋的(de)(de)基本措施(shi)(shi)和(he)主(zhu)要(yao)業(ye)務領域的(de)(de)管(guan)理(li)(li)(li)(li)(li)(li)措施(shi)(shi)；四(si)是(shi)提出(chu)對新(xin)業(ye)務、新(xin)產品和(he)新(xin)系(xi)統的(de)(de)操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)要(yao)點，充分(fen)識別和(he)評估相(xiang)關操(cao)作(zuo)風(feng)險(xian)(xian)(xian)，強化風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)的(de)(de)前瞻(zhan)性；五是(shi)結(jie)(jie)合(he)行(xing)業(ye)數(shu)(shu)字化轉型(xing)趨勢，對相(xiang)關系(xi)統、數(shu)(shu)據在操(cao)作(zuo)風(feng)險(xian)(xian)(xian)管(guan)理(li)(li)(li)(li)(li)(li)中的(de)(de)應(ying)(ying)用提出(chu)意(yi)見。

　　中(zhong)央(yang)(yang)金融工(gong)(gong)作會議要(yao)求，對風(feng)(feng)險要(yao)早(zao)識別、早(zao)預警、早(zao)暴(bao)露、早(zao)處置，健(jian)全(quan)具有(you)硬(ying)約(yue)束的金融風(feng)(feng)險早(zao)期(qi)糾正機(ji)制。證券公(gong)司(si)應貫徹落實中(zhong)央(yang)(yang)金融工(gong)(gong)作會議精神，進一(yi)步完善操作風(feng)(feng)險管理架(jia)構(gou)、流程、工(gong)(gong)具和措施，防范風(feng)(feng)險跨區域、跨市(shi)場、跨境傳(chuan)遞共振，維護(hu)金融市(shi)場穩健(jian)運行(xing)。協(xie)會將(jiang)在評估的基礎上(shang)，進一(yi)步健(jian)全(quan)行(xing)業(ye)風(feng)(feng)險管理自律(lv)規(gui)則體系建設(she)，持(chi)續(xu)督促引導證券公(gong)司(si)提升全(quan)面(mian)風(feng)(feng)險管理水平，維護(hu)行(xing)業(ye)穩健(jian)運行(xing)，助力行(xing)業(ye)機(ji)構(gou)高質量發展(zhan)。