China Securities Regulatory Commission Official Bulletin No.30 [2008]
中国证券监督管理委员会公告 [2008]30号
Interim Provisions on Compliance Management of Securites Companies is hereby announced and shall take effect on August 1, 2008.
现公布《证券公司合规管理试行规定》,自 2008年8月1日起施行。
China Securities Regulatory Commission July 14, 2008
中国证券监督管理委员会 二○○八年七月十四日
Interim Provisions on Compliance Management of Securites Companies
证券公司合规管理试行规定
Article 1 This provision is formulated to promote securites companies enhancing internal compliance management, strengthen self restraint capability and realize sustainable and standardized development, according to the Securities Law and Regulation on Supervision and the Administration of Securities Companies.
第一条 为了促进证券公司加强内部合规管理,增强自我约束能力,实现持续规范发展,根据《证券法》和《证券公司监督管理条例》,制定本规定。
Article 2 Securites companies that is set up in Chinese territory shall implement compliance management based on this provision.
第二条 在中华人民共和国境内设立的证券公司应当按照本规定实施合规管理。
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