On May 12, sources revealed that the Securities Association of China recently initiated a targeted industry-wide survey. This survey focused on assessing the effectiveness of compliance management practices among securities firms for the fiscal year 2026, as well as the "formulation, amendment, repeal, and interpretation" of self-regulatory compliance rules. The primary objective of this initiative is to gain a comprehensive understanding of the current landscape of compliance practices within the industry. This, in turn, will provide a solid foundation for the ongoing refinement of self-regulatory frameworks and the overall enhancement of compliance management efficacy across the sector.

The survey zeroes in on prevalent challenges faced in current compliance assessment endeavors, including a lack of management attention, assessments devolving into mere formalities, and the duplication of efforts with other inspections that amplify operational burdens. It encourages the industry to deliberate on potential solutions to these issues. Notably, "investigating the utilization of cutting-edge technologies, such as AI and intelligent agents, in the realm of compliance assessment" has emerged as a key forward-looking strategy.