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

第十九条证券公司应当为合规总监履行职责提供必要的人力、物力、财力和技术支持。

Securites companies shall set up compliance department or appointed relevant department (hereinafter referred to as “compliance department”) to assist work of the compliance director based on business scope, business scale, organization structure and other conditions, and arrange sufficient number of compliance managing staff, who have professional knowledge and expertise to perform role and responsibility of compliance management, in the compliance department.

证券公司应当根据本公司的经营范围、业务规模、组织结构等情况，设立合规部门或指定有关部门(以下统称“合规部门”)协助合规总监工作，并为合规部门配备足够的、具备与履行合规管理职责相适应的专业知识和技能的合规管理人员。

If compliance director finds its necessary, he can hire external professional institute or expert in the name of the company to assist his work.

合规总监认为必要时，可以公司名义聘请外部专业机构或人员协助其工作。

Article 20 Compliance department is responsible for compliance director and perform compliance management role and responsibility according to company prescription and arrangement of the compliance director. Other responsibility that the compliance department has shalln’t be in conflict with role and responsibility of compliance management.