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证券律师是资本市场重要的参与者,其影响十分广泛。通过梳理中国证监会处罚证券律师的案例,可以展现证券律师承担行政责任的实践样态。在律师涉及虚假陈述的案例中,勤勉尽责是对其的一般要求。在具体的案例中可以发现证监会对勤勉尽责认定的逻辑以及对一些抗辩事由的否定。而涉及内幕交易的律师则是在业务范围拓展、获取内幕信息机会增加的背景下,背离了自身的职业伦理。证券律师必须回到自己的本原——加强专业化,保持独立性。
Securities lawyers are important participants in the capital markets and their impact is very broad. By combing the case of securities lawyers punished by China Securities Regulatory Commission, it is possible to demonstrate the practice of securities lawyers assuming administrative responsibilities. In the case of a lawyer involving false statements, diligence is a general requirement. In specific cases, we can find out the SFC’s logic of diligence and negation of some defenses. The lawyers involved in insider trading are deviating from their own professional ethics in the context of expanding business scope and acquiring opportunities for inside information. Securities lawyers must return to their very roots - strengthening specialization and independence.