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

(一)公司合规管理的基本情况;

(2)Performance of role and responsibility of compliance director;

(二)合规总监履行职责情况;

(3)Discovery and rectification of company violation behavior and compliance risk;

(三)公司违法违规行为、合规风险的发现及整改情况;

(4)Evaluation of effectiveness of company compliance management as well as the rectification status;

(四)公司合规管理有效性的评估及整改情况;

(5)Other content required by securities regulatory institute or believed to be reported by the company.

(五)证券监管机构要求或公司认为需要报告的其他内容。

Board of director, senior management of the securities company shall sign confirmation suggestion of the foregoing prescribed compliance report to ensure the report is true, accurate and complete; suggestion and reason shall be input if there’s any different point of view on report content.

证券公司的董事、高级管理人员应当对前款规定的合规报告签署确认意见，保证报告的内容真实、准确、完整;对报告内容持有异议的，应当注明自己的意见和理由。

Article 24 China Securities Regulatory Commission shall evaluate effectiveness of compliance management of securites companies. The evaluation result will serve as an important evidence for securites companies to implement classified supervision.