第二十条 合规部门对合规总监负责，按照公司规定和合规总监的安排履行合规管理职责。合规部门承担的其他职责不得与合规管理职责相冲突。



Securites companies shall clarify different roles and responsibilities between compliance department and other internal control department, and establish coordination and interaction working mechanism among all internal control departments.

证券公司应当明确合规部门与其他内部控制部门之间的职责分工，建立各内部控制部门协调互动的工作机制。



Article 21 Securites companies shall establish report system for violation and ensure every employee enjoys normal right of reporting law and regulation violation behavior.

第二十一条 证券公司应当建立违规举报制度，保障每一位工作人员都能够正常行使举报违法违规行为的权利。



When each department, branch and working staff of the company find violation behavior or compliance risk potential, they shall actively and timely report to compliance director.

公司各部门、分支机构及其工作人员发现违法违规行为或合规风险隐患时，应当主动、及时地向合规总监报告。



Article 22 Securites companies shall include effectiveness of compliance management and legality of occupational behavior into performance review of senior management, each department, branch as well as personnel wherein.

【双语阅读证券公司合规管理试行规定】相关文章：

★ 全球氦气供应短缺

★ 如新被指搞传销 股价大跌

★ 双语阅读：不当办公室里的“困兽”

★ 浑水质疑奥兰国际灰色会计做法

★ 印巴的亲情纽带

★ 中国商用飞机公司获得新订单

★ 双语阅读：两代人的美

★ 双语阅读：为时尚 为环保：请你穿上秋裤（双语）

★ 双语：新型电脑芯片可让电脑提速20倍

★ 奥运双语八卦：中国羽坛的夫妻档