Regulator Proposes Clawback Rules for Securities Industry Ethics Breaches

Deep News

Yesterday

Chinese media reports indicate that the Securities Association of China (SAC) has proposed implementing a system to recover compensation from industry practitioners found in violation of integrity and ethical standards.

According to a report by China Finance Information on Monday (September 14), the SAC is currently soliciting industry feedback on proposed revisions to its implementing rules regarding integrity and ethical conduct for securities institutions and their employees, with the information being obtained from relevant sources.

The revised rules introduce a more comprehensive incentive and disciplinary framework, with particular emphasis on establishing a mechanism for the recovery and deduction of compensation. Securities firms would be empowered to reclaim remuneration from responsible individuals if it is confirmed that they have breached integrity regulations, acting in accordance with employment contracts and internal company policies.

Disclaimer: Investing carries risk. This is not financial advice. The above content should not be regarded as an offer, recommendation, or solicitation on acquiring or disposing of any financial products, any associated discussions, comments, or posts by author or other users should not be considered as such either. It is solely for general information purpose only, which does not consider your own investment objectives, financial situations or needs. TTM assumes no responsibility or warranty for the accuracy and completeness of the information, investors should do their own research and may seek professional advice before investing.

Most Discussed

{"basename":"","ssrTDKData":{"titleTemplate":"%s - Tiger Brokers","title":"Tiger Brokers | Global Stocks, Options & Futures Trading App","description":"Tiger Brokers, one-stop investment in US stocks, SGX stocks, HK stocks, A-shares & other global assets. One of the best stock trading platforms in Singapore.","keywords":"tiger brokers,tiger trade,tiger brokers singapore,broker online,stock trading in singapore,share trading singapore,brokerage firm singapore,trading app,stock broker singapore,stock trading platforms,trading account","social":{"ogDescription":"Tiger Brokers, one-stop investment in US stocks, SGX stocks, HK stocks, A-shares & other global assets. One of the best stock trading platforms in Singapore.","ogImage":"https://c1.itigergrowtha.com/portal5/static/media/og-logo.0a0bd8dc.png","ogUrl":"https://www.atigrnexa.com/news/1121409150"},"companyName":"Tiger Brokers"},"pageData":{"isMobile":false,"isTiger":false,"isTTM":true,"region":"SGP","license":"TBSG","edition":"fundamental"},"isCrawlerRequest":true,"__swrFallback__":{"@#url:\"https://stock-news.skytigris.cn/v3/news\",params:#id:\"1121409150\",edition:\"fundamental\",auth_exemption:1,,,undefined,":{"share":"https://ttm.financial/m/news/1121409150?lang=en_US&edition=fundamental","thumbnail":"","is_english":true,"pubTime":"2026-09-14 14:10","share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","id":"1121409150","market":"hk","top_or_hot":-1,"title":"Regulator Proposes Clawback Rules for Securities Industry Ethics Breaches","media":"Deep News","content":"<p>Chinese media reports indicate that the Securities Association of China (SAC) has proposed implementing a system to recover compensation from industry practitioners found in violation of integrity and ethical standards.<br><br>\nAccording to a report by China Finance Information on Monday (September 14), the SAC is currently soliciting industry feedback on proposed revisions to its implementing rules regarding integrity and ethical conduct for securities institutions and their employees, with the information being obtained from relevant sources.<br><br>\nThe revised rules introduce a more comprehensive incentive and disciplinary framework, with particular emphasis on establishing a mechanism for the recovery and deduction of compensation. Securities firms would be empowered to reclaim remuneration from responsible individuals if it is confirmed that they have breached integrity regulations, acting in accordance with employment contracts and internal company policies.</p>","source":null,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>Regulator Proposes Clawback Rules for Securities Industry Ethics Breaches</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 11px; color: #7E829C; margin: 0;line-height: 11px;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nRegulator Proposes Clawback Rules for Securities Industry Ethics Breaches\n</h2>\n\n<h4 class=\"meta\">\n\n\n<a class=\"head\" href=\"https://laohu8.com/wemedia/1039043262\">\n\n\n<div class=\"h-thumb\" style=\"background-image:url(https://community-static.tradeup.com/news/8296859682db4b478146245e72de1922);background-size:cover;\"></div>\n\n<div class=\"h-content\">\n<p class=\"h-name\">Deep News </p>\n<p class=\"h-time\">2026-09-14 14:10</p>\n</div>\n\n</a>\n\n\n</h4>\n\n</header>\n<article>\n<p>Chinese media reports indicate that the Securities Association of China (SAC) has proposed implementing a system to recover compensation from industry practitioners found in violation of integrity and ethical standards.<br><br>\nAccording to a report by China Finance Information on Monday (September 14), the SAC is currently soliciting industry feedback on proposed revisions to its implementing rules regarding integrity and ethical conduct for securities institutions and their employees, with the information being obtained from relevant sources.<br><br>\nThe revised rules introduce a more comprehensive incentive and disciplinary framework, with particular emphasis on establishing a mechanism for the recovery and deduction of compensation. Securities firms would be empowered to reclaim remuneration from responsible individuals if it is confirmed that they have breached integrity regulations, acting in accordance with employment contracts and internal company policies.</p>\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"KCE","symbol_name":"SPDR KBW Capital Markets ETF","start_time":0,"source_url":"","article_id":"1121409150","we_media_id":"1039043262","thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=1121409150","pubTimestamp":1789366216,"columns":[],"sourceInfo":null,"weMediaInfo":{"media_name":"Deep News","introduction":"Global Stock Market Deep Analysis","home_visible":1,"id":"1039043262","head_image":"https://community-static.tradeup.com/news/8296859682db4b478146245e72de1922"},"summary":"Chinese media reports indicate that the Securities Association of China (SAC) has proposed implementing a system to recover compensation from industry practitioners found in violation of integrity...","collect":0,"end_time":0,"defaultTopTitle":"","property":[],"viewcount":null,"language":"en","relate_stocks":{"KCE":"SPDR KBW Capital Markets ETF"},"translate_title":"监管机构提出证券业道德违规行为追回规则","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"KCE":1},"content_text":"Chinese media reports indicate that the Securities Association of China (SAC) has proposed implementing a system to recover compensation from industry practitioners found in violation of integrity and ethical standards.\nAccording to a report by China Finance Information on Monday (September 14), the SAC is currently soliciting industry feedback on proposed revisions to its implementing rules regarding integrity and ethical conduct for securities institutions and their employees, with the information being obtained from relevant sources.\nThe revised rules introduce a more comprehensive incentive and disciplinary framework, with particular emphasis on establishing a mechanism for the recovery and deduction of compensation. Securities firms would be empowered to reclaim remuneration from responsible individuals if it is confirmed that they have breached integrity regulations, acting in accordance with employment contracts and internal company policies.","kind":"news","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":true,"editions":null,"column":"","sentiment":"0","news_tag":"policyRegulatory","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":0,"need_auth":false,"need_login_tip":false,"code":"91000000","status":"200"}}}