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信息隔离墙制度对于综合性证券公司防范内幕交易、化解利益冲突、提高公司和行业声誉等具有重要作用。我国初步建立了信息隔离墙的制度体系并正在全行业逐步推广规范。本文梳理了该项制度在境外的缘起和发展状况,就该制度的关键法律问题进行了比较分析,并提出了《证券法》、监管部门规范性文件及自律规则等各层级的完善建议。
The information wall system plays an important role for the securities companies in preventing insider trading, settling conflicts of interest and improving the reputation of companies and industries. Our country has initially established a system of information barriers and is gradually promoting norms throughout the industry. This paper reviews the origins and development of this system abroad, and makes a comparative analysis on the key legal issues of the system. It also puts forward some suggestions for improvement at various levels, including the Securities Law, regulatory documents and self-regulatory rules.