2024年度证券公司投资者服务与保护报告

目录CONTENTS证券行业持续健全投资者保护机制 助力资本市场高质量发展坚守初心使命 深化改革创新 证券行业谱写投资者服务与保护新篇章一、强本强基，筑牢投资者保护制度体系··································································06（一）政策制度，顶层设计锚定高质量发展方向 ··························································06（二）文化赋能，行业培育责任为本的内生动力 ··························································07（三）协同共治，生态共建凝聚多方合力····································································07二、精准护航，构建全周期投资者服务生态·······························································08（一）筑基启航，做好新入市投资者等重点群体教育服务 ··············································08（二）聚力深耕，ETF投教品牌矩阵打造·····································································09（三）精准适配，适当性管理与教育场景融合······························································10三、责任引领，创新金融为民探索实践····································································11（一）传承红色基因，深化党建引领投教····································································12（二）融合国民教育，夯实金融素养基础····································································12（三）聚焦乡村振兴，赋能基层金融教育····································································132024年度│证券公司投资者服务与保护报告The lnvestor Service and Protection Report of Securities Companies 2024四、数字赋能，打造智慧投教创新范式····································································13（一）构建智能投教生态系统，实现技术赋能投教升级··················································14（二）打造精准化服务闭环，提升投资者教育实效性·····················································14（三）建立长效价值引导机制，培育理性投资文化························································15五、防控风险，完善权益救济保障闭环····································································16（一）退市风险教育与保护······················································································16（二）积极履行投诉处理首要责任·············································································17（三）多元化解证券纠纷·························································································17主题一： 建设特色投教基地主题二： 开展特色投教活动主题三： 制作特色投教产品主题四： 科技赋能投资者服务主题五： 开展防非宣传活动主题六： 开展走进上市公司活动主题七： 促进证券纠纷多元化解18711004591117130012024年度│证券公司投资者服务与保护报告The lnvestor Service and Protection Report of Securities Companies 20242024年，证券行业坚持以习近平新时代中国特色社会主义思想为指导，深入学习党的二十大、二十届三中全会、中央金融工作会议和中央经济工作会议精神，认真贯彻落实《中共中央关于进一步全面深化改革 推进中国式现代化的决定》《国务院关于加强监管防范风险推动资本市场高质量发展的若干意见》和资本市场“1+N”政策体系要求，坚持践行金融为民的理念，突出以人民为中心的价值取向，提升投资者服务质效，保护投资者特别是中小投资者合法权益。特别是一揽子增量政策落地实施、市场信心显著提振以来，行业机构扎实做好新入市投资者服务，依托金融科技提升客户服务效率、提供个性化服务体验，持续普及理性投资、价值投资、长期投资文化，增强投资风险识别和防范能力，助力建设具有高度适应性、竞争力、普惠性的资本市场。一是贯彻落实二十届三中全会《决定》、新“国九条”和资本市场“1+N”政策体系要求，构建多层次、全方位的投资者保护制度体系。二十届三中全会《决定》提出，要健全投资和融资相协调的资本市场功能，防风险、强监管，促进资本市场健康稳定发展，健全投资者保护机制。新“国九条”提出，必须始终践行金融为民的理念，突出以人民为中心的价值取向，更加有效保护投资者特别是中小投资者合法权益，助力更好满足人民群众日益增长的财富管理需求。未来5年，基本形成资本市场高质量发展的总体框架，投资者保护的制度机制更加完善。党中央、国务院的重要部署和要求为全行业进一步健全完善投资者服务与保护制度体系、切实保护中小投资者和合法权益提供了根本遵循。2024年，证券行业持续健全投资者保护机制助力资本市场高质量发展中国证券业协会02协会持续完善行业自律规则体系，在规则制定与修订中全面体现投资者保护要求，夯实投资者保护的制度基础，在“5·15全国投资者保护宣传日”期间发布《证券公司客户回访标准》《证券公司投诉处理标准》等两项团体标准，是协会首次制定发布投资者保护类团体标准，旨在规范投诉处理和客户回访机制和流程，为行业提供更加系统化、精细化的操作指南。行业机构严格落实监管和自律制度规则，在公司治理、合规风控、人员管理、文化建设等方面和各类业务制度中贯彻落实投资者保护理念和要