| 摘要: |
| 摘要：随着股票发行注册制的全面实行，投行业务如何加强行业廉洁从业管理、营造良好市场生态，是资本市场亟需研究的重要课题。从业务和管理两个维度入手，聚焦投行业务中容易滋生腐败的关键岗位、核心业务和重点环节，全面分析投资银行业务廉洁风险防控的新形势、主要类型和产生原因。在此基础上提出，投资银行廉洁风险防控应始终坚持党建引领，牢固树立廉洁意识；明确管理要求，完善风险防控机制；围绕风险多发易发点，强化监督管控；建立健全业绩考评机制，加强队伍建设；丰富廉洁教育形式，筑牢思想防线；发挥数字化管理作用，促进业务流程优化。 |
| 关键词: 关键词：投资银行；廉洁从业；风险防控；注册制改革 |
| DOI： |
| 分类号:F832.5 |
| 基金项目: |
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| Research on Integrity Risk Prevention and Control of Investment Banks under the Background of Registration-Based IPO Regime |
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JIANG Li
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（Zheshang Securities Co.，Ltd.）
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| Abstract: |
| Abstract：With the implementation of the Registration-based IPO Regime，how to strengthen the management of industry integrity and create a good market environment in investment banking business is an urgent research topic for the capital market.This paper analyzes the new situation faced by investment banking business integrity in the context of the Registration-based IPO Regime.From the two dimensions of business and management，it focuses on key positions，core businesses，and key links that are prone to corruption in investment banking business，and comprehensively analyzes the main types and characteristics of integrity risks.Furthermore，through the analysis of typical violations of integrity risks，it is found that the occurrence of integrity risks in investment banks is mainly related to various factors such as interest driven，integrity awareness，external environment，internal management，and institutional implementation.Based on this，we should always adhere to the guidance of party building，firmly establish integrity awareness；clarify management requirements，improve risk prevention and control mechanisms；strengthen supervision around risk-prone areas；establish and improve performance evaluation mechanisms，strengthen team building；enrich forms of integrity education，build a strong ideological defense line；and utilize digital management tasks to promote business process optimization. |
| Key words: Key words：Investment Banks；Clean and Honest Employment；Risk Prevention and Control；Registration-based IPO Regime |
