Compliance, honesty, professionalism and steadiness are the guiding indicators for evaluating the soft power of securities companies. 20119,2110 at the mobilization meeting of the cultural construction of the securities fund industry held in Beijing in October, China Yi Huiman, Chairman of China Securities Regulatory Commission made a speech entitled "Accelerating the cultural construction of the industry, optimizing the ecological development of the industry, and striving to enhance the soft power and core competitiveness of the securities fund institutions", which fully emphasized the important role of a healthy and good industry culture. It not only refines the core concept and important connotation of the securities fund industry culture in the new period, but also points out that it is necessary to build a "compliance, integrity, professionalism and stability" industry culture, and also puts forward a clear road map for the industry culture construction, marking the securities industry culture construction entering a new stage.

First, a good cultural escort enterprise operates and develops to purify the industry ecology.

Corporate culture is a comprehensive representation of an enterprise's strategic orientation, development concept, professional ability, value orientation, spiritual quality and other factors, and it is the strength and source to support its long-term stable and healthy development. It is not a virtual concept, but a concept closely related to all aspects of the company.

Corporate culture can subtly influence employees' behavior, thus making employees consciously adhere to the high standards of compliance work. CICC has a good compliance culture, in which "compliance is the bottom line" embodies the company's basic compliance concepts of "full compliance", "full compliance" and "independent compliance" through the concerted efforts of "top-down" and "bottom-up". At the same time, personnel management is strengthened through various management systems to prevent moral hazard.

Corporate culture needs employees more than compliance, which not only requires employees not to break the law, but also can effectively improve their professional quality and moral level. CICC has always attached importance to the professional quality and moral level of employees. Thanks to the leadership of the company and the efforts of the Legal Compliance Department, compliance practice and legal operation have been deeply embedded in the company's various businesses, which has become the conscious ethics of all employees, making employees' requirements for themselves higher than basic internal compliance, forming the working principle and corporate atmosphere of "honesty is obligation", making the company adhere to high standards of compliance work and forming a good reputation in the industry.

Culture can make employees better understand industry norms, laws and regulations, grasp their inherent essence, and strengthen risk awareness. With the expansion of securities business and the complexity of products, a good corporate culture can enable employees to make correct judgments more flexibly and actively on the basis of understanding the nature of compliance.

In the future, we will continue to introduce a series of measures to regulate employee behavior. For example, a code of conduct for employees is being drafted. Because the value orientation of personnel in the securities fund industry is diversified, a unified code of conduct can guide the values and behaviors of employees. This is not only the international advanced experience, but also the current practical needs. Employee norms are conducive to the value pursuit of the industry and the business philosophy of enterprises into the daily work behavior of individuals, and then become the conscious action of employees.