合规总监应当组织实施公司反洗钱和信息隔离墙制度，按照公司规定为高级管理人员、各部门和分支机构提供合规咨询、组织合规培训，处理涉及公司和工作人员违法违规行为的投诉和举报。



Article 14 If compliance director finds violation behavior of law or regulation or compliance risk in the company, he shall report to internal institute prescribed in company rule as well as local securities regulatory bureau in time; if such behavior violates industrial standard and self discipline rule, report shall also be sent to related self discipline organization.

第十四条 合规总监发现公司存在违法违规行为或合规风险隐患的，应当及时向公司章程规定的内部机构报告，同时向公司住所地证监局报告;有关行为违反行业规范和自律规则的，还应当向有关自律组织报告。



For violation behavior and compliance risk potential, compliance director shall put forward suggestions to related company institute or department on stopping and handling of such violation behavior and risk potential, and urge the rectification. Securites companies shall report the rectification result to local regulatory bureau; and send a copy to related self discipline organization if necessary.

对违法违规行为和合规风险隐患，合规总监应当及时向公司有关机构或部门提出制止和处理意见，并督促整改。公司应当将整改结果报告住所地证监局;必要时，抄报有关自律组织。

【双语阅读证券公司合规管理试行规定】相关文章：

★ 双语阅读：法厄同

★ 双语阅读：不当办公室里的“困兽”

★ 银行也“炒股炒成股东”

★ FT社评：英国新型劳动合同不可行

★ 双语欣赏：温总理诗作《仰望星空》

★ 如新被指搞传销 股价大跌

★ 奥运双语八卦：中国羽坛的夫妻档

★ 双语阅读：两代人的美

★ 小红帽

★ 双语：新型电脑芯片可让电脑提速20倍