Article 15 If law, regulation and rule are changed, compliance director shall suggest board of director or senior management to supervise related company department in a timely manner, evaluate impact to company compliance management, and modify and complete related management system and business procedure.
第十五条 法律、法规和准则发生变动,合规总监应当及时建议公司董事会或高级管理人员并督导公司有关部门,评估其对公司合规管理的影响,修改、完善有关管理制度和业务流程。
Article 16 Compliance director shall keep contact with securities supervision and administration institute and self discipline organization, and take initiative to cooperate with work of securities supervision and administration institute and self discipline organization.
第十六条 合规总监应当保持与证券监管机构和自律组织的联系沟通,主动配合证券监管机构和自律组织的工作。
Compliance director shall handle investigation required by securities supervision and administration institute and self discipline organization in a timely manner, cooperate with them on company inspection and investigation, follow up and evaluate implementing result of supervision suggestion and requirement.
合规总监应当及时处理证券监管机构和自律组织要求调查的事项,配合证券监管机构和自律组织对公司的检查和调查,跟踪和评估监管意见和监管要求的落实情况。
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