快评丨券商违法“自罚三杯”,这是拿法律当儿戏
据上海市证券同业工会消息,上海地区19家券商近日签署了资本市场《共同践行廉洁从业承诺书》,商违就严格执行投行业务开展中的法拿法律廉洁从业要求共同作出公开承诺。其中提到,当儿“对于存在廉洁从业违法违规行为的自罚三杯从业人员,通过要求退还奖金或停止实施长效激励等方式实施有效问责。快评”
从业者违法违规,丨券退还奖金就能过关?如此“罚酒三杯”,商违真是法拿法律令人咋舌。19家券商签署《共同践行廉洁从业承诺书》,当儿起码向世人传达了以下信息:此前民间猜测的自罚三杯某些乱象确实存在。如果不是快评这份承诺书公之于众,人们还不知道他们已经嚣张到这种程度——承认问题但不解决问题,丨券这种“罚酒”行为更像是对法律的藐视。
相关数据显示,当前我国资本市场个人投资者已超过2亿,公募基金及相关个人投资者数量超过7亿。如此庞大的规模,显然需要更多券商作为投资者与市场沟通的桥梁。然而,国内部分券商受人之托却不忠人之事,从事与其履行职责存在利益冲突的活动。证监会上个月通报8家券商的四大问题中,内控问题、廉洁问题就赫然在列。
当前,中国经济进入高质量发展阶段。以法律手段规范资本运作,打击证券公司的欺诈行为,是中国资本市场爬坡过坎的关键一战。然而,从监管层近年开展的投行业务内控检查看,部分券商“带病冲关”问题突出,为了短期利益而忽视审核流程的例子比比皆是。殊不知,券商与投资者本就是利益共同体,唯有以规范操作保护用户利益才能实现持续健康发展。
当然,从保护投资者利益的实际作用看,也没有人奢望一份承诺书能解决问题,但对于廉洁从业违法违规的行为,他们的态度竟然是“退还奖金”“停止实施长效激励”,这种处理方式不仅让投资者感觉受到冒犯,更让人怀疑相关法律的严肃性。客观而言,我国在证券领域的立法已然不少,但如果不能构建一套约束与激励相兼容的体系,资本市场就很难迸发出助力经济高质量发展的洪荒之力。
法律必须被信仰,否则等于形同虚设。让19家券商签署承诺书容易,而让他们从根本上改正错误,就离不开相关规律的有效落地。2001年,美国安然公司的财务造假丑闻被曝光,安然公司及其相关的投行和会计师事务所都遭到了灭顶之灾:公司CEO杰弗里·斯基林被判刑24年并罚款4500万美元,财务欺诈的策划者费斯托被判6年徒刑并罚款2380万美元,公司创始人肯尼思·莱虽因诉讼期间去世被撤销了刑事指控,但仍被追讨了1200万美元罚款。公司的投资者,也通过集体诉讼获得了71.4亿美元的赔偿金。
遵纪守法是现代企业的生命线,坑蒙拐骗就是自断活路。不知国内的违法券商们,是否能从这个案例中嗅出一丝危机?而国内监管机构,能否从中获得一些有益的启示?
【作者】叶雨
【来源】南方农村报
(责任编辑:产品中心)
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