中證(zheng)網(wang)訊(xun)（記者 昝秀麗）湖(hu)(hu)北(bei)證(zheng)監(jian)(jian)(jian)局(ju)網(wang)站7月7日(ri)消息，為進一步明確監(jian)(jian)(jian)管底線要求(qiu)，警示轄(xia)區(qu)各(ge)類機構(gou)合規經(jing)營(ying)(ying)，湖(hu)(hu)北(bei)證(zheng)監(jian)(jian)(jian)局(ju)創新監(jian)(jian)(jian)管思路、優化監(jian)(jian)(jian)管方式，編(bian)制了《湖(hu)(hu)北(bei)轄(xia)區(qu)證(zheng)券期貨經(jing)營(ying)(ying)機構(gou)監(jian)(jian)(jian)管通(tong)訊(xun)》（以下簡稱《監(jian)(jian)(jian)管通(tong)訊(xun)》），對(dui)2019年相關檢查(cha)中發現的主要問題及處理結果(guo)予以通(tong)報(bao)，要求(qiu)各(ge)機構(gou)認(ren)真(zhen)對(dui)照通(tong)報(bao)的問題，自(zi)查(cha)自(zi)糾，規范(fan)經(jing)營(ying)(ying)。近期已下發了2020年度(du)第一至第四(si)期。

　　湖北證(zheng)監(jian)(jian)(jian)局(ju)表示，《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》對(dui)(dui)于(yu)機(ji)(ji)構(gou)(gou)(gou)(gou)監(jian)(jian)(jian)管(guan)工作(zuo)具(ju)(ju)有(you)重要(yao)意義：一是創(chuang)新監(jian)(jian)(jian)管(guan)方式(shi)(shi)。這(zhe)是湖北證(zheng)監(jian)(jian)(jian)局(ju)首次以(yi)(yi)(yi)下(xia)發(fa)《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》的(de)形式(shi)(shi)，通(tong)(tong)報轄(xia)區(qu)(qu)(qu)機(ji)(ji)構(gou)(gou)(gou)(gou)違規(gui)(gui)(gui)問題(ti)，要(yao)求(qiu)各機(ji)(ji)構(gou)(gou)(gou)(gou)對(dui)(dui)照(zhao)問題(ti)、自查(cha)自糾，具(ju)(ju)有(you)強烈(lie)的(de)警示作(zuo)用。《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》傳(chuan)導了(le)市場(chang)規(gui)(gui)(gui)則和監(jian)(jian)(jian)管(guan)要(yao)求(qiu)，督促(cu)各機(ji)(ji)構(gou)(gou)(gou)(gou)提高對(dui)(dui)于(yu)監(jian)(jian)(jian)管(guan)底線的(de)認(ren)識和把握，提升了(le)機(ji)(ji)構(gou)(gou)(gou)(gou)監(jian)(jian)(jian)管(guan)效能。二是強化合(he)規(gui)(gui)(gui)教育。《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》分別對(dui)(dui)轄(xia)區(qu)(qu)(qu)證(zheng)券、期貨經營機(ji)(ji)構(gou)(gou)(gou)(gou)、基金銷(xiao)售機(ji)(ji)構(gou)(gou)(gou)(gou)和投資(zi)咨(zi)(zi)詢機(ji)(ji)構(gou)(gou)(gou)(gou)的(de)違規(gui)(gui)(gui)問題(ti)進(jin)(jin)(jin)行了(le)系(xi)統總結，輔(fu)以(yi)(yi)(yi)實(shi)務案(an)例說(shuo)明，內(nei)容詳實(shi)。以(yi)(yi)(yi)此(ci)作(zuo)為(wei)對(dui)(dui)轄(xia)區(qu)(qu)(qu)機(ji)(ji)構(gou)(gou)(gou)(gou)的(de)合(he)規(gui)(gui)(gui)教育，具(ju)(ju)有(you)更強的(de)指(zhi)引性(xing)(xing)、操作(zuo)性(xing)(xing)、針對(dui)(dui)性(xing)(xing)，有(you)利(li)于(yu)督促(cu)機(ji)(ji)構(gou)(gou)(gou)(gou)提升自身合(he)規(gui)(gui)(gui)水平，引導其主動進(jin)(jin)(jin)行合(he)規(gui)(gui)(gui)管(guan)理。三是促(cu)進(jin)(jin)(jin)監(jian)(jian)(jian)管(guan)溝通(tong)(tong)。《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》下(xia)發(fa)以(yi)(yi)(yi)來，在轄(xia)區(qu)(qu)(qu)機(ji)(ji)構(gou)(gou)(gou)(gou)間引起了(le)廣泛關注和高度重視。目(mu)前，湖北證(zheng)監(jian)(jian)(jian)局(ju)機(ji)(ji)構(gou)(gou)(gou)(gou)處已(yi)通(tong)(tong)過電話、郵(you)件(jian)等多(duo)種方式(shi)(shi)接(jie)受相(xiang)關咨(zi)(zi)詢。目(mu)前來看，對(dui)(dui)《監(jian)(jian)(jian)管(guan)通(tong)(tong)訊(xun)(xun)》的(de)學習宣傳(chuan)和貫徹自查(cha)均呈現良好局(ju)面。