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

第十八条证券公司应当保障合规总监的独立性，保障合规总监能够充分行使履行职责所必需的知情权和调查权。

Compliance director enjoys the right to participate or attend meetings related to his performance of role and responsibility, get and read related document, material, and ask persons concerned to explain issues.

合规总监有权参加或列席与其履行职责有关的会议，调阅有关文件、资料，要求公司有关人员对有关事项作出说明。

Shareholders, board of directors and senior managements shalln’t directly order or interfere the work of compliance director by violating prescribed role and responsibility and procedure; board of directors, supervisory directors, senior managements, each department and branch of the securities company shall support and cooperate with compliance director, rather than restricting or interfering his performance of role and responsibility with any excuse.

证券公司的股东、董事和高级管理人员不得违反规定的职责和程序，直接向合规总监下达指令或者干涉其工作;证券公司的董事、监事、高级管理人员和各部门、分支机构应当支持和配合合规总监的工作，不得以任何理由限制、阻挠合规总监履行职责。

Article 19 Securites companies shall provide man power, property, fund and technical support to compliance director in order to perform his role and responsibility.