第二十二条 证券公司应当将合规管理的有效性和执业行为的合规性,纳入高级管理人员、各部门和分支机构及其工作人员的绩效考核范围。
Securites companies shall assess performance of role and responsibility of compliance director and compliance management personnel, and decide their salary and benefit. If compliance director and management performed their roles and responsibilities well, their salary and benefit shalln’t be lower than average level of company management at the same level.
证券公司应当对合规总监和合规管理人员的履职情况进行考核,并根据考核结果决定其薪酬待遇。合规总监和合规管理人员工作称职的,其薪酬待遇应当不低于公司同级别管理人员的平均水平。
Article 23 Securites companies shall report interim compliance report to local securities regulatory bureau before August 31 each year; submit annual compliance report of the previous year before April 30 of each year. The compliance report shall be passed in BOD meeting and includes the following content:
第二十三条 证券公司应当于每年8月31日前向住所地证监局报送中期合规报告;每年4月30日前报送上一年的年度合规报告。合规报告应当由公司董事会通过,包括以下内容:
(1)Basic profile of company compliance management;
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