【双语】Betway体育商场新标准

发布:2017-06-23 09:44 来历: 我国Betway体育网
经过商场自律的方法进行自我标准,将构成他律与自律的合力,有助于进一步进步我国人民币汇率构成机制的商场化程度,促进和标准Betway体育商场的展开。

Betway体育商场新标准

New Standards for the Foreign Exchange Market

 

5月8日,全国Betway体育商场自律机制发布了《我国Betway体育商场原则》(以下简称《原则》)。该《原则》是在依据我国Betway体育商场的实践机制,并充沛学习全球Betway体育商场原则以及首要国家和地区Betway体育商场自律机制相关原则的根底之上拟定的。《原则》的出台是近期我国Betway体育商场变革展开进程中的一项严重行动,也是我国Betway体育商场规矩与世界接轨的重要标志。

The national foreign exchange market issued the China Foreign Exchange Market Guidelines on May 8, and the move has been hailed as a major reform. It took a page out of the global foreign exchange market standards and is already a symbol of China's foreign exchange market rules complying with the international standards.

 

 作为我国Betway体育商场自律机制的根底性原则,《原则》并不对商场参加者构成法令和法规上的束缚。在业内人士看来,经过商场自律的方法进行自我标准,将构成他律与自律的合力,有助于进一步进步我国人民币汇率构成机制的商场化程度,促进和标准Betway体育商场的展开。 

 

储国强:我国农业银行金融商场部Betway体育生意处处长

曹守年:我国建造银行金融商场生意中心副总经理

肖霆:我国交通银行金融商场事务中心 副总裁

姚振华:花旗银行(我国)我国区生意主管

何昕:法国兴业银行(我国)董事总经理

As a basic system of self-discipline for China’s foreign exchange market, the Guidelines are not legal or regulatory constraints on market participants. But by raising the standards for self-discipline, they help build confidence in the foreign exchange market and in turn help continue the development of the market. In this exclusive interview, China Forex reporter speaks to Chu Guoqiang, director of the Foreign Exchange Trading Unit, Financial Marketing Department, Agricultural Bank of China, Cao Shounian, deputy general manager of the Financial Market Trading Center, China Construction Bank, Xiao Ting, vice president of Financial Market Business Center, Bank of Communications, Yao Zhenhua, director of China Trading, Citibank China, and He Xin, managing director, Société Générale (China).

 

《我国Betway体育》:《原则》的发布,可以说是我国Betway体育商场变革展开进程中的一项严重行动。此举关于我国Betway体育商场的展开而言有何含义?

China Forex: It has been said that the introduction of the "Guidelines" is a major initiative in the reform and development of China's foreign exchange market. What would you say is the main significance for China's foreign exchange market?

储国强:为进步全球Betway体育商场的公正性和完整性,世界清算银行(BIS)从2015年开端着手拟定《全球Betway体育商场原则》,我国中央银行作为BISBetway体育商场最佳实践委员会的成员,全程参加了《全球Betway体育商场原则》的拟定。在全球原则发布之前,我国Betway体育商场自律机制首要发布了《我国Betway体育商场原则》,对我国Betway体育商场展开含义严重:一是有利于进一步推进人民币汇率构成机制变革。当时我国汇率构成机制变革在不断完善之中,安稳有序的Betway体育商场可以保证变革方针的顺畅施行,较大极限地避免非理性要素对变革进程的扰动。二是有利于我国Betway体育商场与世界商场的顺畅接轨,保证Betway体育商场标准运转。作为全球最大的展开我国家,我国Betway体育商场具有必定的新式商场特征。《原则》在充沛学习世界商场老练经历的根底上,融入了我国Betway体育商场的详细实践,有利于在现有Betway体育商场安稳接连展开的根底上,完成我国Betway体育商场与世界商场的顺畅对接,推进人民币世界化进程。三是有利于进步商场功率、促进各商场参加者的专业和标准性。《原则》对Betway体育商场参加者详细行为的标准翔实且具有可操作性,使从业者可以依据一套清晰的原则来束缚和标准自己日常的生意行为。在当时世界商场,特别是Betway体育商场的环境下,生意员的行为不只要契合本国法令法规的规矩,还要遭到沃尔克规律等世界法案的束缚。《原则》的发布,清晰了Betway体育商场参加者的行为标准,可以有用避免违规事情的发作。

Chu Guoqiang: In order to enhance fairness in a comprehensive framework for the global foreign exchange market, the Bank for International Settlements (BIS) developed the Global Foreign Exchange Market Guidelines. Since 2015, the People's Bank of China, as a member of the BIS Foreign Exchange Market Best Practices Committee, has participated in the promulgation of the Global Foreign Exchange Market Guidelines. Before the release of the global guidelines, China's foreign exchange market issued its own "China Foreign Exchange Market Standards." This is of great significance to the development of China's foreign exchange market. First, it is conducive to promoting the reform of the exchange rate mechanism for the renminbi. The reform of China’s exchange rate formation mechanism is constantly making progress. The stable and orderly foreign exchange market can guarantee the smooth implementation of reform policies and avoid disturbances from "irrational factors." Second, it is conducive to the smooth integration of China's foreign exchange market and the international market. As the world's largest developing country, China has a foreign exchange market with certain emerging market characteristics. The “Guidelines” have drawn on the experience of the more mature international market, and integrated its practices. This is conducive to the stable development of the foreign exchange market. It also advances the internationalization of the renminbi.

姚振华:《原则》关于我国Betway体育商场的展开应该说具有里程碑式的含义。《原则》充沛吸取了国外金融商场的最新监管经历,并结合了我国本身的特色,关于增强银行内控,标准银行的前、中、后台的生意行为,都有十分好的辅导含义。

Yao Zhenhua: It should be said that guidelines are a milestone in the development of China's foreign exchange market. They have fully absorbed the latest regulatory experience of foreign financial markets. Combined with China's own characteristics, they strengthen banks’ internal controls, standardize bank counter business as well as real-time and non-bank counter transactions,

曹守年:《原则》的拟定和发布,是我国Betway体育商场展开进程中的一项标志性事情,是对我国20多年Betway体育商场展开实践的全面总结,对我国Betway体育商场的长时间健康展开具有推进效果。

Cao Shounian: The development and the release of the "Guidelines" is an iconic event in the development of China’s foreign exchange market. It is a comprehensive summary of China’s foreign exchange market development during more than 20 years, which will have a positive effect on the healthy development of China’s foreign exchange market over the longer term.

榜首,《原则》内容丰富,包含常规常规、通用原则、生意履行、危险操控、生意承认与清算、生意公司、技能术语等内容,共216条,既包含有作业通用性的辅导原则,也供给了作业最佳实践的操作标准,完善了具有我国特色的Betway体育商场原则体系。其对我国Betway体育商场参加者和从业人员,具有很强的辅导含义,有利于促进我国Betway体育商场专业、公正、高效、稳健的运转。

First, the "Guidelines" include 216 articles of conventional practices, general principles, transaction execution methods, transaction confirmation, transaction execution and clearing, brokerage firms and technical terms among other items. It not only contains the industry's guiding principles, provides the normative operation of the best practices and improves the foreign exchange market system with Chinese characteristics. It has a strong guiding significance for the foreign exchange market participants and this is conducive to promoting professionalism as well as fair, efficient and sound market practices.

第二,《原则》在拟定过程中充沛学习了《全球Betway体育商场原则》以及首要国家和地区Betway体育商场自律机制相关原则的内容,是我国Betway体育商场规矩与世界接轨的重要标志,也是我国Betway体育商场敞开的重要行动,有利于推进我国Betway体育商场的世界化展开。

The “Guidelines” also have relied on the global foreign exchange market standards and the relevant criteria of the self-regulatory mechanisms of the major national and regional foreign exchange markets.

第三,尽管《原则》并不对商场参加者构成法令和法规上的束缚,也不能替代监管规矩,可是《原则》是对国家相关法令、法规和方针规矩的有用弥补。其在推行施行后,我国Betway体育商场参加者和从业人员将可经过商场自律的方法进行自我标准,影响深远。

Although the "Guidelines" do not constitute a legal or regulatory constraint on market participants and do not replace regulatory rules, they can effectively complement the relevant national laws, regulations and policy rules. After the implementation of the "Guidelines", the Chinese foreign exchange market participants and practitioners will be able to regulate themselves through market self-discipline. This has a far-reaching impact.

何昕:2008年金融危机以来,全球金融商场监管安排纷繁对商场大型安排打开Betway体育操作案查询,并对包含巴克莱、德意志、苏格兰皇家银行在内的多家银行开出了巨额罚单。这也让咱们知道到,保证出资者对金融商场的公正性和有用性的决心,按捺商场大型安排的Betway体育操作行为,维护小出资商运用零售生意商在Betway体育商场进行正常投机活动,完善商场根底设施,是金融当局监管的首要任务。在此布景下,各地Betway体育商场也活跃推出翔实的行为原则与作业操行攻略,以标准Betway体育商场。在我国,人民银行和Betway体育局早在三年前便牵头树立了银行间Betway体育商场作业操行和商场常规专业委员会,担任完善我国Betway体育商场作业操行指引和商场常规。在充沛学习世界经历并结合我国实践的根底上,专委会在2016年构成了《我国Betway体育商场作业操行指引和商场常规》初稿,并活跃参加了世界清算银行Betway体育商场最佳实践委员会的全球Betway体育商场一致行为标准榜首版的拟定和宣传作业。2016年6月,为进一步习惯我国Betway体育商场的展开,更好地发挥金融安排在商场建造方面的效果,全国Betway体育商场自律机制在上海树立。此次《原则》的发布,旨在经过为Betway体育商场参加者和从业人员供给通用性的辅导原则和作业最佳实践的操作标准,来促进我国Betway体育商场专业、公正、高效、稳健的展开,实乃我国金融商场建造中的一件大事。

He Xin: Since the financial crisis of 2007-2008, global financial market regulators have launched investigations into the activities of large foreign institutions in the foreign exchange market. They have imposed heavy fines on Barclays, Deutsche Bank, Royal Bank of Scotland and a number of other banks. A top priority for regulators has been to boost confidence in the fairness and effectiveness of financial markets by restraining foreign exchange manipulation by large institutions in the marketplace and protect small investors and improve market infrastructure. In this context, all foreign exchange markets actively promote the introduction of a detailed code of conduct to regulate the foreign exchange market. In China, the central bank and the foreign exchange regulator took the lead in setting up a professional committee to look at standards of professional conduct and market practice in the foreign exchange market three years ago. The special committee formed the first draft of the Professional Guidance and Market Practice of China's Foreign Exchange Market in 2016, and actively participated in the development and promotion of the first edition of the unified code of conduct of the Foreign Exchange Market Best Practices Committee by BIS. In June 2016, in order to further adapt to the development of China's foreign exchange market, and better to give full play to the role of financial institutions in the market construction, the national foreign exchange market self-regulatory mechanism was established in Shanghai.

肖霆:《原则》的发布对我国Betway体育商场展开含义十分严重,将有力促进我国Betway体育商场健康、快速的展开。一方面,《原则》为我国Betway体育商场的参加者和从业人员供给了通用性的辅导原则和作业最佳实践的操作标准,有助于促进Betway体育商场专业、公正、高效、稳健的运转;另一方面,《原则》也是对国家相关法令、法规和方针规矩的有利弥补,有助于商场参加者完善内部办理原则,以更高标准的作业操行和专业操作展开相关事务。

Xiao Ting: The promulgation of the "Guidelines" is of huge significance to the development of China's foreign exchange market, as it will promote the healthy and rapid development of the market. At the same time, the "Guidelines" provide general principles and guidelines for the best industry practices for participants and practitioners in the Chinese foreign exchange market. This will help promote a fair, efficient, professional and robust operation of the foreign exchange market. The “Guidelines” are also a useful complement to relevant laws, regulations and policies of the Chinese authorities. This will help market participants improve the internal management system and carry out relevant business with higher standards of professional conduct and operation.

《原则》完成了与世界常规和全球原则的全面临接,因而,Betway体育商场成员应充沛了解、学习《原则》内在,不断完善内部办理原则,树立契合世界标准的更高的合规标准,以利于本身的海外安排面临全球监管,能愈加沉着自傲,然后加快中资银行“走出去”的脚步。这也有助于推进人民币世界化的进程。

The "Guidelines" are in full compliance with international practice and global guidelines. Therefore, members of the foreign exchange market should be up to speed on the contents of the “Guidelines.” They should constantly improve their internal management systems and establish higher compliance standards in line with international norms. This will give overseas institutions confidence in China's standards and thereby accelerate the pace of Chinese banks "going global." This also helps promote the internationalization of the renminbi.

 

《我国Betway体育》:《原则》的掩盖规划有哪些?在实践中,应怎么推进《原则》的推行与施行?

China Forex: What is the scope of the "Guidelines" and how do we promote them.

 

姚振华:《原则》的掩盖规划包含了经过监管部分同意从事Betway体育生意事务的安排和个人,包含具有银行间Betway体育商场事务、结售汇事务、外币生意事务等资历的运营安排及其内部从业人员。因而其掩盖规划不只限于银行,一切从事Betway体育的非银行金融类安排也包含在内。

Yao Zhenhua: The "Guidelines" cover the institutions and individuals approved by the regulatory authorities to engage in foreign exchange transactions. This includes qualified institutions and their staff engaged in the interbank foreign exchange market business, foreign exchange settlement business and foreign currency trading. It not only covers banks, but also the non-bank financial institutions engaged in foreign exchange- related business.

 

银行作为客户和商场的桥梁,在《原则》的推行和施行过程中具有关键性的效果。鉴此,银行一方面要一马当先,在银行间商场标准生意,与客户的生意也要遵从《原则》的标准,为客户供给更为优质、专业的服务;另一方面,银行作为商场参加的一份子,关于参加银行间商场生意的非银安排和生意公司的行为,也应该有必定的监督和约束。

 

The banks, as a bridge between the customers and the market, have a key role in the promotion and implementation of the "Guidelines." In view of this, the banks should set a good example by providing quality professional services to the market and follow the "Guidelines" regarding their customer transactions. Banks also should have some supervision and control over the behavior of the non-banking institutions and brokerage firms participating in interbank dealings.

 

肖霆:《原则》既全面接轨世界常规和通行规矩,又充沛考虑了我国Betway体育商场的展开阶段和实践国情。这就决议了《原则》的施行要分阶段、分过程推进。一是分期分批安排《原则》训练,从中心成员、根底成员再到其他成员。一方面经过中心成员的商场演示效应,影响整个商场参加者,构成杰出的学习气氛;另一方面,将《原则》的内容归入从业资历认证,终究完成《原则》训练的全掩盖。二是树立完善银行间Betway体育商场自律行为的考评体系,奖优罚劣,进一步优化奖惩机制,催促商场参加者既要“学”原则,更要事必躬亲“习”原则。    

Xiao Ting: The "Guidelines" are not only fully integrated with international rules and practice, they also take into consideration the actual situation of China's foreign exchange market. This means that the implementation of the "Guidelines" should be gradual. Training as mapped out in the "Guidelines" should be conducted in batches, starting with core staff members and then expanding to others. It should set a good example through the core members in order to influence all market participants. The "Guidelines" cover the certification of professional qualifications and ultimately cover all aspects of training. They also could improve the evaluation system regarding self-discipline in the market through proper reward and punishment mechanisms. At the same time market participants are urged to put the "Guidelines" into actual practice.

 

《我国Betway体育》:从服务客户的视点看,《原则》的发布将会对银行带来哪些影响?

China Forex: From the perspective of customer service, how would the "Guidelines" influence the banks?

 

姚振华:《原则》在与客户生意标准上有着详尽清晰的规矩。这部分内容有助于维护客户利益,标准银行的生意行为,削减银行与客户之间的胶葛,然后也可在很大程度上维护银行的权益。标准的生意行为也会相应地带动商场的健康展开:一切参加主体有了清晰的规矩去恪守,有利于构成高效安全的生意环境,在人民币世界化的趋势下,招引更多的出资者参加我国Betway体育商场。

Yao Zhenhua: The "Guidelines" have clear and detailed rules regarding transactions with customers. This section helps protect the interests of the clients, regulates the bank's trading behavior and attempts to reduce disputes between banks and their customers. This protects the interests of the bank to a large extent. Standardized trading behavior will promote healthy development of the market accordingly, and all the participants have clear rules to comply with. This is conducive to the formation of an efficient and safe trading environment. This in turn should attract more investors to the market and that will be good for the internationalization of the renminbi.

 

曹守年:《原则》为我国Betway体育商场参加者和从业人员供给了通用性的辅导原则和作业最佳实践的操作标准,适用于经我国监管部分同意从事Betway体育生意事务的一切安排和个人。这意味着我国Betway体育商场的一切参加者在对客服务时,都应遵从《原则》提出的展业原则,标准日常操作。这有利于构成商场对客服务的作业标准,促进商场参加者愈加自律;也有利于遵循以客户为中心的理念,包含生意理念、生意信息保密等,然后为客户供给更专业的服务,进一步进步银行的服务水平。

Cao Shounian: The "Guidelines" have provided common guiding principles and best practices for participants in the Chinese foreign exchange market – both institutions and individuals approved by the regulatory authorities to engage in foreign exchange transactions. This means that all participants in the Chinese foreign exchange market should follow industry principles proposed by the "Guidelines" when providing services to customers. This is conducive to the formation of industry norms and it is also conducive to the implementation of a customer-oriented philosophy, covering trading ideas and the confidentiality of trading information. It should provide customers with more professional services and improve the quality of banking services.

 

肖霆:《原则》的推出,标准了Betway体育商场的生意行为,关于同业客户,有助于标准两边生意行为,保证生意公正公正,避免内情生意发作,进步生意功率,削减生意争议和胶葛;关于企业客户,经过对银行与企业行为的进一步标准,有助于银行在进步服务企业的功率、维护客户利益的一同,有用防备洗钱及相关违法行为带来的危险。

Xiao Ting: The "Guidelines" will help regulate the trading behavior of the foreign exchange market. For customers of the industry, this will help regulate transaction behavior to ensure fair trade, prevent insider trading, improve transaction efficiency and reduce transaction disputes. For corporate customers, through further regulation of banking and corporate behavior, it will help banks improve the efficiency of serving enterprise clients and protect the interests of their customers. At the same time, it will effectively prevent risks from money laundering and other illegal activities.

 

储国强:《原则》关于作为我国Betway体育商场首要参加者的商业银行而言,影响首要体现在以下三个方面:一是《原则》在银行现有内部办理原则的根底上细化了行为标准,构成了他律与自律的结合,有助于商业银行进步对操作危险的办理才能;二是《原则》清晰了商场参加行为的鸿沟和行为标准,有助于下降同业交流冲突本钱,进步商业银行的事务功率;三是在推进人民币世界化的进程中,我国商业银行也在逐渐加快融入世界干流体系,而《原则》可以为其供给清晰的行为标准,有利于下降商业银行世界化的原则本钱。

Chu Guoqiang: In the case of commercial banks, which are the main participants in the Chinese foreign exchange market, the impact is mainly in the following three areas. First, the "Guidelines" specify the standards of conduct based on the bank's existing internal management system in a combination of laws and self-discipline. This helps commercial banks enhance their management capacity regarding operational risk. Second, the "Guidelines" clarify the boundaries and the behavioral norms of market participation. This helps reduce the costs of communication within the industry to improve the efficiency of commercial banks. Third, in the process of promoting the internationalization of the renminbi, China's commercial banks are also accelerating their drive into the mainstream international system, and by providing a clear behavioral standard, the "Guidelines" can help reduce institutional costs in this effort.

 

《我国Betway体育》:《原则》的推出,会对企业客户带来什么样的影响?

China Forex: What kind of impact will the introduction of the "Guidelines" have on corporate customers?

 

肖霆:关于企业客户而言,跟着《原则》的推出,Betway体育商场将变得愈加高效和标准,然后使客户的灵敏信息能得到更好的维护;一同,银行的报价将愈加公正,有利于维护客户和银行两边的权益,并保证客户能取得全面、公正、高质的金融服务和处理方案。

Xiao Ting: For corporate customers, with the introduction of the "Guidelines," the foreign exchange market will become more efficient and standardized. Sensitive customer information can be better protected. At the same time, bank pricing will be fairer and this will protect the interests of the banks and their customers. Customers will have access to fair, comprehensive and high quality financial services and solutions.

储国强:企业客户作为我国Betway体育商场生意现金流的首要供给者,《原则》对其的影响首要体现在以下两个方面:一是《原则》规矩商业银行不得运用严重非揭露内情信息牟取不正当利益,不得因而抢先生意。该自律规矩有助于企业客户取得商场实在价格,进步企业客户经过汇率进行套期保值的功率。二是《原则》有助于进一步维护客户的生意信息,下降企业客户汇率生意所触及的并购、合同订单规划等商业秘要走漏的或许性,进步商场的标准程度。

Chu Guoqiang: Corporate customers, as the main provider of the cash flow in China's foreign exchange market, will be affected by the "Guidelines" in the following ways. First, the "Guidelines" stipulate that commercial banks shall not use significant non-public information to obtain improper benefits, such as front-running clients. The self-discipline rules help corporate customers attain real market prices and this enhances efficiency. The "Guidelines" will help protect customer transaction information, reducing the possibility that commercial secrets involving mergers and acquisitions, orders and the like are leaked.

《我国Betway体育》:关于我国Betway体育生意中心来说,《原则》的施行会带来哪些影响?

China Forex: For the China Foreign Exchange Trade Center, what will the impact be?

储国强:我国Betway体育生意中心作为为Betway体育商场供给现货及衍生品生意、生意后处理等服务的商场安排,《原则》对其的影响首要体现在以下两个方面:一是为了进步Betway体育商场的功率和对其的束缚力,《原则》对生意中心商场基准发布和参加安排的行为标准提出了更高的要求。二是当时事务才能和资历准入训练体系已根本齐备,《原则》发布后,将商场参加者生意员的行为标准训练归入了现有训练体系,显得尤为重要。

Chu Guqiang: The China Foreign Exchange Trade Center, as a market institution, provides spot and derivatives transactions. It also provides post-transaction processing services to the foreign exchange market. The impact of the "Guidelines" is mainly in these areas. First, in order to enhance the efficiency of the foreign exchange market and apply rules that constrain behavior, the "Guidelines" put forward higher behavioral demands on those participating in the market. Second, the current business capacity and qualification training system has been basically completed. With the introduction of the "Guidelines", it is particularly important to include training for ensuring proper behavior of traders.

 

《我国Betway体育》:为了有用推进《我国Betway体育商场原则》的施行,应怎么树立相关配套机制?

China Forex: In order to effectively promote the implementation of the China Foreign Exchange Market Guidelines, what support mechanism is needed?

肖霆:关于《原则》相关配套机制的树立,主张如下:一是加强《原则》的训练。Betway体育商场自律机制秘书处应赶快推进构成长效训练机制,定时或不定时地安排对商场成员的相关训练,让商场成员充沛了解《原则》的内容和精力,并依据最新商场状况,在实践中遵循执行《原则》的要求。二是树立商场争议与胶葛处理机制。在我国Betway体育商场自律机制中应树立相关安排,调停商场参加者间或许呈现的生意争议与胶葛。

Xiao Ting: On building the relevant support mechanism of the "Guidelines," the recommendations are as follows. First, there is a need for strengthened training under the "Guidelines." The secretariat of the self-regulatory mechanism of the foreign exchange market should promote the formation of a long-term training mechanism as soon as possible in order to hold training sessions for market members so that they fully understand the contents and the spirit of the "Guidelines". And according to the latest market conditions, there is a need for the implementation of the requirements of the "Guidelines" in practice. Second, there is a need for the establishment of a market dispute resolution mechanism. In the self-regulatory mechanism of China’s foreign exchange market, this means setting up relevant institutions to mediate transaction disputes which may occur between market participants.

姚振华:《原则》发布之后,首要任务仍是促进各参加Betway体育商场成员安排训练和进行学习。这方面咱们现已在生意中心的帮忙下,安排了很多的人力物力去推进日常的训练作业,也得到了活跃的呼应。

Yao Zhenhua: After the release of the "Guidelines,” the primary task has been to promote the organization of training and study sessions for foreign exchange market members. In this regard, with the assistance of the trading center, a considerable amount of manpower and resources have been allocated to promote training. Responses so far have been positive.

《我国Betway体育》:银行作为商场参加者,在内部推进《原则》的施行方面,采取了哪些方法?

China Forex: What measures are the banks taking to promote the implementation of the “Guidelines” from within?

姚振华:花旗银行作为中心自律成员之一,从《原则》的起草阶段,就现已活跃参加其间,不只供给了国外商场的一些相关内容,也和委员会其他搭档一同依据我国的状况拟定了相习惯的条款。在《原则》发布之后,行内事务部分协同合规、法务、运营等部分,首要对比现有的内部办理规矩进行差异剖析,查漏补缺,并进一步完善内部标准,作为事务部分的根本行为原则。《原则》与外资银行现有内部办理规矩大多是在同一辅导思想的结构下,只不过对单个细节的表述及重视的关键不同。作为内部标准,花旗银行的根本思路是要严于银行间的根底标准,即在《原则》的根底之上,在有些方面提出更严厉和详尽的要求。

Yao Zhenhua: Citibank, as one of the core self-discipline members, has been actively involved in the “Guidelines” process since the drafting stage began. The bank has not only helped provide content related to foreign markets, but it also works with other colleagues on the self-discipline  committee to work out terms applicable to China's own situation. After the promulgation of the “Guidelines,” bank business units cooperate with compliance, legal affairs and operations departments for implementation. The first step is to review existing internal management regulations and identify the areas where there are gaps with the contents of the “Guidelines.” The internal management at the foreign banks is largely within a similar framework as proposed by the “Guidelines.” Citibank's basic idea is to impose stricter requirements on itself than the basic norms on the interbank market.

储国强:《原则》是作业最佳实践的操作标准。农即将以此为标准,加强学习训练,不断完善本身的原则体系,融入全行合规文明建造。一是加强学习与训练。首要做法包含:安排生意部分、危险办理部分以及法令合规部分的办理人员及职工参加自律机制举行的训练,并在训练中延聘外部专家进行有关《原则》关键的解说。二是树立健全相关原则方法,保证《原则》的施行。详细包含:整理行表里现行相关规章原则,对照《原则》相关要求,查明距离;依照《原则》相关要求,修订并完善现行规章原则;关于空白地带,依据《原则》的要求拟定相应的规章原则,以保证《原则》可以顺畅施行;树立完善的生意行为标准体系,保证农行生意行为各方面都契合《原则》的规矩。三是树立完善的点评查核体系,保证《原则》的施行落到实处,融入合规文明建造。一方面树立相应考评体系,将《原则》施行状况实在归入全行查核体系;另一方面,加强行内合规文明日常建造,让合规操作的知道深化到每位职工的心里。

Chu Guoqiang: The Guidelines offer the best industry practice. Agricultural Bank of China (ABC) will take this as its own standard, expand staff study sessions and training efforts, improve its own institutional system and adapt this to the bank’s compliance culture. First, it needs to strengthen training. For instance, it needs to organize management personnel and staff from the trading department, risk management department and the legal compliance department to participate in training organized by the self-regulatory mechanism. It will also hire an external training expert to explain the relevant parts of the "Guidelines." Second, it needs to protect the implementation of the "Guidelines." It needs to have a clear pattern of the relevant rules and regulations within the industry in accordance with the requirements of the “Guidelines.” It needs to promulgate relevant rules and regulations to fill in the gaps in accordance with the relevant requirements of the "Guidelines." It needs to improve the standardized system for tracking transaction behavior to make sure ABC complies with the requirements of the “Guidelines.” Third, it needs to build and improve the evaluation and examination system to guarantee the implementation of the “Guidelines.”   It needs to establish a corresponding evaluation system, to incorporate the implementation of the “Guidelines” into the bank's assessment system. At the same time, it needs to strengthen the daily construction of its compliance culture to cultivate awareness of compliance operations by each employee.

 

曹守年:建造银行作为我国Betway体育商场的重要参加者和首要做市商,一直以来都在仔细执行监管规矩,不断完善内部办理原则,活跃参加Betway体育商场的建造。借这次《原则》发布的时机,建即将依照全国Betway体育自律机制的要求和安排,做好《原则》的遵循执行作业。一是活跃参加自律机制举行的各层级《原则》训练活动,并在全行规划内做好《原则》的转训练作业,进步全行Betway体育从业人员对《原则》精力的掌握和了解。二是在日常作业中经过履行行内规章原则,执行《原则》的通用型辅导原则和最佳实践操作标准,在全行规划内以专业的作业操行和标准操作,推进相关事务。

Cao Shounian: China Construction Bank (CCB), as an important participant in China's foreign exchange market, has been seriously implementing the regulatory requirements, and it constantly improves its internal management system. CCB will work hard to implement the "Guidelines" in accordance with the requirements of the national foreign exchange self-regulatory mechanism. It will actively participate in training activities at all levels and promote further training of the "Guidelines" on a national scale to improve understanding of the spirit of the document. Second, in its daily work, through the implementation of the rules and regulations within the implementation of the general guidelines and best practice norms of the "Guidelines," it shall promote the relevant business in line with the professional conduct and standardized operation at banks.

 

 

肖霆:交行作为我国Betway体育商场的重要参加者,将从以下几个方面详细推进《原则》的推行与施行:一是加强交流和联络。活跃坚持与Betway体育商场自律机制秘书处、会员单位和安排的交流和联络,坚决遵循、执行《原则》的相关内容和要求,助力进步商场运转的标准化和专业化。二是加强内部学习训练。交即将统筹和谐Betway体育事务各环节从业人员展开《原则》的训练作业,分批、分阶段安排货台操作员、总/分行世界事务人员、总行生意员、中飓风控人员以及后台清算人员等全流程各环节人员,仔细深化学习《原则》,保证各级从业人员都能全面了解《原则》的精力,并在生意员资质、IT体系办理、内部危险操控等方面保证契合《原则》的要求。三是对应《原则》的要求,进一步弥补、完善相关内部规章原则和办理方法,加强作业操行的训练,避免内情生意,保证公正公正,标准授权办理,保证事务合规;加强行内Betway体育资金条线的交流和谐,谨防洗钱及其他或许的违法行为。

Xiao Ting: Bank of Communications, as an important participant in the foreign exchange market, will specifically enhance the promotion and implementation of the "Guidelines" in the following respects. First, it will strengthen communication. It will actively maintain communication with the market’s self-discipline secretariat as well as member institutions and resolutely implement the requirements of the “Guidelines.” Second, it will strengthen internal training. It will coordinate training for the practitioners engaged in all aspects of the foreign exchange business. In this way, participants engaged in activities at all levels can comprehend the spirit of the “Guidelines” and meet the requirements in IT system management, internal risk control and other aspects. Third, it needs to complement and improve the relevant internal rules and regulations and management practices according to the standards of the “Guidelines.” There is a need to strengthen training in professional ethics to prevent insider trading, ensure fairness and impartialness, and ensure business compliance. There is also a need for strengthened communication and coordination to ensure the prevention of money laundering and other illegal activities.

 

何昕:作为我国Betway体育商场的一名参加者,即期商场做市商,法兴(我国)将遵循履行《原则》作为举世商场部合规建造的一个重要组成部分。作为一家全球性的出资银行,咱们了解《原则》对咱们在全球展开的重要含义。从全球层面上,咱们将《原则》归入法兴(我国)《Betway体育行为原则》的办理结构中,与已有的《生意员守则》和《出售守则》构成互补。在我国层面,咱们首要在四方面从内部推进《原则》的施行。一是将《原则》归入《法兴我国Betway体育生意中心银行间Betway体育及辅币商场生意流程》中;二是将恪守《原则》列入每年年头的作业方针,并在年末的业绩查核中查核其恪守的状况;三是合规部定时要求职工对其本身和其部属(如有)就是否有违背《原则》的行为进行自查;四是安排学习《原则》的专场活动,经过相互评论等方法,深化Betway体育商场参加职工对《原则》的了解和知道。

He Xin: As a participant in the Chinese foreign exchange market, the spot market maker, Société Générale (China), will make the implementation of the "Guidelines" as an important part of its global market compliance efforts. As a global investment bank, it understands the importance of the "Guidelines" to its global growth. At the global level, it has incorporated the "Guidelines"  into the management framework of the Foreign Exchange Code of Conduct of Société Générale (China), complementing the existing Trader Code and the Sale Code. For China, it mainly promotes the implementation of the Guidelines from within in the following four aspects. First, it includes the "Guidelines" into "The Interbank Foreign Exchange and Local Currency Market Trading Process at China Foreign Exchange Trading Center of Société Générale (China)." Second, it sets the goal of complying with the "Guidelines" in the beginning of each year as the work objectives, and at the end of the year it will conduct a performance assessment regarding compliance. Third, it shall conduct self-examination to see whether there are any violations by the bank or any of its employees. Fourth, it shall organize special events to study the Guidelines through mutual discussion, to deepen the understanding of the participants engaged in the foreign exchange market of the "Guidelines."