双语阅读证券公司合规管理试行规定_时事

双语阅读证券公司合规管理试行规定

If compliance director finds ambiguity of prescription in law, regulation and rule, and feels hard to make judgment on compliance of business management and occupational behavior of the company as well as working staff, he can consult to securities supervision and administration institute or self discipline organization, who shall reply in a timely manner.

合规总监认为法律、法规和准则的规定不明确，难以对公司及其工作人员的经营管理和执业行为的合规性作出判断的，可以向证券监管机构或者自律组织咨询。接受咨询的证券监管机构和自律组织应当及时作出答复。

Article 17 Compliance director shall archive the issued compliance audit suggestion, provided compliance consultation suggestion, signed company document，working paper of compliance inspection, and other documents or materials that are related to performance of role and responsibility, and keep record of such performance.

第十七条合规总监应当将出具的合规审查意见、提供的合规咨询意见、签署的公司文件、合规检查工作底稿等与履行职责有关的文件、资料存档备查，并对履行职责的情况作出记录。

Article 18 Securites companies shall ensure independence of compliance director and guarantee compliance director can sufficiently exercise the right of knowing and investigation of necessity in order to perform role and responsibility.