中国证券业协会2024年报

中国证券业协会年报SAC ANNUAL REPORT 202420242021年6月，中国证券业协会第一党支部荣获全国先进基层党组织称号。In June 2021, the First Party Branch of the Securities Association of China was honored with the title of “National Advanced Primary-level Party Organization”.1991年8月28日，中国证券业协会成立大会在北京人民大会堂召开。On August 28, 1991, the Opening Ceremony of the Securities Association of China was held at the Great Hall of the People in Beijing.2021年2月，中国证券业协会荣获全国脱贫攻坚先进集体称号。In February 2021, the Securities Association of China was honored with the title of “National Advanced Collective for Poverty Alleviation”.2022年11月，中国证券业协会获评5A级社会组织。In November 2022, the Securities Association of China was rated as a 5A-grade Social Organization.A中国证券业协会│年报SAC ANNUAL REPORT 2024目 录 *CONTENTS* 所有数据截至2024年底 All data as of year-end 2024认识协会About SAC012024年工作成果Achievements of SAC in 202409附录 Appendix61资本市场及证券行业发展情况Capital Market and Securities Industry Overview 证券行业及协会2024年大事记Securities Industry and SAC Milestones年度自律规则建设情况Annual Self-Regulatory Rule Development会员一览MembersB1中国证券业协会│年报SAC ANNUAL REPORT 2024认识协会About SAC12会长致辞回首 2024，这是锐意进取的一年。在中国证监会党委的坚强领导下，在各方的关心支持下，中国证券业协会（简称“协会”）坚决贯彻党中央、国务院重大决策部署，以“防风险、强监管、促高质量发展”为主线，不断深化党的建设，努力发挥自律管理的前瞻性引导、预防性规范作用，积极服务证券行业高质量发展大局，助力增强资本市场服务实体经济能力，勇于担当，积极作为，取得了一些进展。这一年，协会把贯彻落实新“国九条”和资本市场“1+N”政策体系部署要求作为重大政治任务，全面落实“强本强基、严监严管”，不断完善自律监管全链条约束机制，抓早抓小防范化解风险，全力推进一流投资银行建设，以“长牙带刺”、有棱有角的自律监管措施压紧压实行业机构主体责任和“看门人”职责。这一年，协会立足自律管理的协同和配合作用，通过健全评价评估等正向激励约束机制提升行业专业水平，发挥首席经济学家等行业智库作用加强预期管理，借助行业交流服务平台优势调研难点问题，推动证券行业守正创新健康发展，为增强资本市场内在稳定性提供保障。展望 2025 年，资本市场将继续面临新的机遇和挑战。协会党委将深入学习贯彻党的二十届三中全会精神，按照证监会主席吴清对协会“内强作风、外塑形象，进一步引领带动行业整体向好”的指示精神，聚焦行业难点痛点问题，发挥自律服务传导功能，推动党中央重大决策部署和证监会党委部署要求落实到位，不断提升内部治理水平，在加强市场预期引导和风险防控、强化自律管理和监管协同、促进行业机构功能发挥等方面励精图治、善作善成，不断取得工作新成效。3中国证券业协会│年报SAC ANNUAL REPORT 2024MESSAGE FROM THE PRESIDENT 2024 was a year of decisive progress. Under the strong leadership of the China Securities Regulatory Commission (CSRC) Party Committee and with broad stakeholder support, we, the Securities Association of China (SAC), steadfastly implemented the directives of the CPC Central Committee and the State Council, prioritizing risk prevention, rigorous oversight, and high-quality development. By strengthening Party discipline and enhancing the forward-looking and preventive role of self-regulatory mechanisms, SAC advanced the securities industry's role in supporting the real economy, demonstrating responsibility and initiative while achieving measurable progress in key areas. In 2024, on policy implementation, SAC executed the new "Nine Guidelines" and "1+N" capital market reforms as a top priority, reinforcing market foundations and strict supervision. For risk mitigation, SAC refined self-regulatory frameworks to proactively identify and address risks at the early stage, ensuring accountability among market participants and gatekeepers while promoting the development of top-tier investment banks. This year, building on its collaborative self-regulatory approach, SAC enhanced professional standards across