中證網訊(xun)（記者 昝秀麗）青(qing)島證監(jian)局(ju)5月10日消(xiao)息，青(qing)島證監(jian)局(ju)當日召開(kai)2023年轄區證券基金(jin)期貨(huo)機構(gou)監(jian)管工作會(hui)(hui)議。青(qing)島證監(jian)局(ju)局(ju)長(chang)殷志誠出席會(hui)(hui)議并作主(zhu)題(ti)報告，青(qing)島證券期貨(huo)業協會(hui)(hui)負責(ze)人介紹了2023年工作重點，轄區行(xing)(xing)(xing)業代表(biao)進行(xing)(xing)(xing)了交流發言。會(hui)(hui)議采取“現場(chang)+線上”相結合(he)的方式舉行(xing)(xing)(xing)，轄區232家證券基金(jin)期貨(huo)經(jing)營(ying)機構(gou)負責(ze)人、合(he)規負責(ze)人約480人現場(chang)或視(shi)頻參加會(hui)(hui)議。 

　　回顧2022年，轄(xia)區證券基金期貨經(jing)營機構(gou)運(yun)營總體(ti)穩健、規模穩步增長(chang)，治理更加規范、風險(xian)持(chi)續(xu)收斂，轉型成效初(chu)顯、市場活力增強。轄(xia)區各(ge)機構(gou)牢記(ji)行(xing)業功能(neng)使命，堅守(shou)服務(wu)實體(ti)經(jing)濟和財富(fu)管理的初(chu)心(xin)，積(ji)極推進業務(wu)轉型，實現了服務(wu)實體(ti)經(jing)濟能(neng)力和行(xing)業整體(ti)實力的雙提升。

　　會議指出，青(qing)島證監(jian)局將堅持守正創新(xin)，深入落實(shi)(shi)機(ji)構(gou)監(jian)管(guan)(guan)轉型要求(qiu)，推動轄(xia)區行(xing)業機(ji)構(gou)高質量發展。一是全(quan)力(li)做好全(quan)面(mian)實(shi)(shi)行(xing)股(gu)票發行(xing)注冊制(zhi)(zhi)改(gai)革(ge)相關工(gong)作，層層推進(jin)“注冊制(zhi)(zhi)在青(qing)島·青(qing)島資本力(li)量”系列(lie)主題活(huo)動，進(jin)一步壓(ya)實(shi)(shi)中介機(ji)構(gou)“看門人”責(ze)任，壯(zhuang)大長期專業投資力(li)量。二是以(yi)促(cu)進(jin)功能發揮為(wei)(wei)牽引(yin)，鼓勵轄(xia)區行(xing)業機(ji)構(gou)差異化(hua)、特色化(hua)發展。三是以(yi)提升(sheng)監(jian)管(guan)(guan)有效性為(wei)(wei)中心，切實(shi)(shi)提升(sheng)機(ji)構(gou)監(jian)管(guan)(guan)前瞻性、精準(zhun)性、震懾(she)性和(he)引(yin)領性。四是以(yi)不發生重大風險事件為(wei)(wei)底線，切實(shi)(shi)維(wei)護轄(xia)區穩定。五是以(yi)行(xing)業文化(hua)建設(she)為(wei)(wei)抓手，夯實(shi)(shi)機(ji)構(gou)內(nei)生規范基礎。

　　會議強(qiang)調，轄區(qu)機(ji)構要(yao)(yao)(yao)準確把握行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)發(fa)展形勢，清醒認識存在(zai)的(de)(de)問(wen)題，直面(mian)風(feng)險(xian)和(he)(he)挑戰(zhan)，精準把握發(fa)展機(ji)遇，努(nu)力(li)(li)推(tui)動高質(zhi)量(liang)(liang)發(fa)展再上新(xin)臺階。一是(shi)要(yao)(yao)(yao)堅(jian)(jian)(jian)持(chi)(chi)回歸本(ben)源，提(ti)升(sheng)(sheng)服務(wu)(wu)(wu)(wu)(wu)(wu)實(shi)(shi)體經濟(ji)能(neng)力(li)(li)。要(yao)(yao)(yao)聚(ju)焦(jiao)支持(chi)(chi)科技創新(xin)，積極支持(chi)(chi)更多關鍵核(he)心(xin)技術(shu)和(he)(he)“卡脖子”領域企業(ye)(ye)(ye)(ye)(ye)(ye)(ye)登陸資本(ben)市(shi)(shi)場；聚(ju)焦(jiao)服務(wu)(wu)(wu)(wu)(wu)(wu)青(qing)島24條重(zhong)點(dian)產(chan)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)鏈(lian)，為戰(zhan)略性(xing)(xing)(xing)新(xin)興產(chan)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)發(fa)展提(ti)供(gong)全產(chan)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)鏈(lian)綜合(he)服務(wu)(wu)(wu)(wu)(wu)(wu)；聚(ju)焦(jiao)投融資平(ping)(ping)衡發(fa)展，持(chi)(chi)續提(ti)升(sheng)(sheng)財富管(guan)(guan)理(li)服務(wu)(wu)(wu)(wu)(wu)(wu)水平(ping)(ping)，擴大(da)權益類產(chan)品供(gong)給。二是(shi)要(yao)(yao)(yao)堅(jian)(jian)(jian)定推(tui)進(jin)(jin)轉型(xing)，促(cu)進(jin)(jin)機(ji)構功能(neng)發(fa)揮(hui)。證(zheng)券公司(si)(si)要(yao)(yao)(yao)持(chi)(chi)續提(ti)升(sheng)(sheng)投行(xing)(xing)(xing)(xing)(xing)執(zhi)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)質(zhi)量(liang)(liang)，真正選出優(you)質(zhi)公司(si)(si)；基(ji)金公司(si)(si)要(yao)(yao)(yao)提(ti)升(sheng)(sheng)核(he)心(xin)投研能(neng)力(li)(li)，擴大(da)投研隊伍和(he)(he)管(guan)(guan)理(li)半徑(jing)；期貨公司(si)(si)要(yao)(yao)(yao)突(tu)出產(chan)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)導(dao)向(xiang)，大(da)力(li)(li)培育產(chan)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)客戶；咨(zi)詢(xun)和(he)(he)獨銷機(ji)構要(yao)(yao)(yao)提(ti)高專業(ye)(ye)(ye)(ye)(ye)(ye)(ye)化(hua)、個(ge)性(xing)(xing)(xing)化(hua)服務(wu)(wu)(wu)(wu)(wu)(wu)能(neng)力(li)(li)；分支機(ji)構要(yao)(yao)(yao)夯(hang)實(shi)(shi)比(bi)較優(you)勢，深耕青(qing)島市(shi)(shi)場。三(san)是(shi)要(yao)(yao)(yao)堅(jian)(jian)(jian)持(chi)(chi)嚴(yan)(yan)守底線，夯(hang)實(shi)(shi)規范發(fa)展基(ji)礎。要(yao)(yao)(yao)守嚴(yan)(yan)“看(kan)門人(ren)”職(zhi)責，強(qiang)化(hua)保薦(jian)能(neng)力(li)(li)、定價能(neng)力(li)(li)、承(cheng)銷能(neng)力(li)(li)和(he)(he)內部控制體系；持(chi)(chi)續提(ti)升(sheng)(sheng)治(zhi)理(li)水平(ping)(ping)，加強(qiang)黨(dang)(dang)的(de)(de)領導(dao)，強(qiang)化(hua)股(gu)權管(guan)(guan)理(li)，健(jian)全“三(san)會一層”；提(ti)升(sheng)(sheng)合(he)規風(feng)控管(guan)(guan)理(li)水平(ping)(ping)，嚴(yan)(yan)格(ge)落(luo)實(shi)(shi)全面(mian)風(feng)險(xian)管(guan)(guan)理(li)、全員合(he)規、全流程(cheng)質(zhi)控要(yao)(yao)(yao)求(qiu)；深入落(luo)實(shi)(shi)投資者(zhe)保護，提(ti)高投資者(zhe)教(jiao)育質(zhi)效(xiao)。四是(shi)要(yao)(yao)(yao)堅(jian)(jian)(jian)持(chi)(chi)穩字當頭，牢牢守住風(feng)險(xian)底線。要(yao)(yao)(yao)堅(jian)(jian)(jian)持(chi)(chi)把穩健(jian)作為行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)的(de)(de)經營底色(se)和(he)(he)鮮明特質(zhi)，確保流動性(xing)(xing)(xing)安全、業(ye)(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)(wu)安全、系統安全和(he)(he)聲譽安全，確保業(ye)(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)(wu)活(huo)動與各方面(mian)能(neng)力(li)(li)相匹配。五是(shi)要(yao)(yao)(yao)堅(jian)(jian)(jian)守核(he)心(xin)價值，突(tu)出文(wen)化(hua)引領作用。要(yao)(yao)(yao)堅(jian)(jian)(jian)持(chi)(chi)黨(dang)(dang)建引領，制度先行(xing)(xing)(xing)(xing)(xing)，將黨(dang)(dang)的(de)(de)領導(dao)、文(wen)化(hua)建設(she)的(de)(de)核(he)心(xin)要(yao)(yao)(yao)求(qiu)嵌入公司(si)(si)治(zhi)理(li)、發(fa)展戰(zhan)略、業(ye)(ye)(ye)(ye)(ye)(ye)(ye)務(wu)(wu)(wu)(wu)(wu)(wu)流程(cheng)之中；優(you)化(hua)激勵約束機(ji)制，摒棄(qi)短期導(dao)向(xiang)、規模情結、牌照(zhao)情結和(he)(he)排名喜好(hao)；落(luo)實(shi)(shi)行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)機(ji)構廉潔(jie)從(cong)(cong)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)主體責任，從(cong)(cong)嚴(yan)(yan)加強(qiang)員工行(xing)(xing)(xing)(xing)(xing)為管(guan)(guan)理(li)，培育健(jian)康(kang)行(xing)(xing)(xing)(xing)(xing)業(ye)(ye)(ye)(ye)(ye)(ye)(ye)文(wen)化(hua)。

　　會后，青島證監(jian)局指導(dao)青島證券(quan)期(qi)貨業(ye)(ye)協會分別召開了轄區證券(quan)機(ji)構(gou)座談交(jiao)(jiao)流會和期(qi)貨機(ji)構(gou)座談交(jiao)(jiao)流會，邀(yao)請(qing)行業(ye)(ye)頭部機(ji)構(gou)有關負責人分享經驗做(zuo)法，組織轄區機(ji)構(gou)代表交(jiao)(jiao)流特色化(hua)(hua)發(fa)展(zhan)(zhan)實(shi)踐和路(lu)徑(jing)，進一步助推轄區機(ji)構(gou)發(fa)揮專(zhuan)業(ye)(ye)優(you)勢，深入探索差(cha)異化(hua)(hua)特色化(hua)(hua)發(fa)展(zhan)(zhan)道路(lu)，實(shi)現自身(shen)高質量發(fa)展(zhan)(zhan)。