Disciplinary Management of Securities Lawyers under the Perspective of Professional Ethics
In recent years China Securities Regulatory Commission has gradually strengthened its control over the profession of securities lawyers while the Lawyers Association,a self-disciplining organization of the lawyers profes-sion,has kept quiet,arousing extensive concerns and debates practically and academically.Securities lawyers--special industry lawyers shoulder the dual roles of"gatekeepers"and"agents",which may involve them in conflicts in terms of professional ethics and cause them to act against pro-fessional ethics at times.Hence,self-disciplining may be ineffective whereas external disciplining may be necessary and rational.Based on the management status quo of China's securities lawyers profession and with reference to other countries'management experiences regarding the securi-ties lawyers profession,this paper assumes that we should strengthen the co-operation between external disciplining and self-disciplining subjects,add special requirements concerning securities lawyers,establish an information sharing mechanism between securities supervising organs,judiciary and ad-ministrative departments,and lawyers associations,consolidate the internal punishment as to securities lawyers,and establish a joint punishment system for the securities lawyers profession.Meanwhile,we should detail and clarify the selection rules regarding securities lawyers,and establish a peers-rat-ing system.
professional ethicssecurities lawyerSecurities Regulatory Commissionindustry management
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