The China Securities Association issued the 2025 self-regulatory inspection notice on brokerage culture construction, which directly points to four major issues: insufficient leadership in party building, lack of implementation of construction requirements, irregular preparation of annual reports, and poor self-evaluation procedures. Among them, the China Securities Association disclosed that some brokerage firms have not established effective management mechanisms in areas with high moral risk and key positions, but have assessed themselves as “meeting the requirements,” but are unable to provide executive material support. At present, the Association has adopted self-regulatory management measures for relevant brokerage firms, and points will be deducted in the 2025 practice evaluation for brokerage firms that lack management mechanisms in areas with high moral risk.

The China Securities Association issued the 2025 self-regulatory inspection notice on brokerage culture construction, which directly points to four major issues: insufficient leadership in party building, lack of implementation of construction requirements, irregular preparation of annual reports, and poor self-evaluation procedures. Among them, the China Securities Association disclosed that some brokerage firms have not established effective management mechanisms in areas with high moral risk and key positions, but have assessed themselves as “meeting the requirements,” but are unable to provide executive material support. At present, the Association has adopted self-regulatory management measures for relevant brokerage firms, and points will be deducted in the 2025 practice evaluation for brokerage firms that lack management mechanisms in areas with high moral risk.