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

第二十四条中国证监会对证券公司合规管理的有效性进行评价，评价结果作为对证券公司实施分类监管的重要依据。

Article 25 Through effective compliance management, if the securities company actively finds violation behavior, handles properly, pursues legal responsibility, complete internal control system and business flow, and report to local securities regulatory bureau on a timely basis, it can be either free from legal responsibility pursuit or punished at the lower level.

第二十五条证券公司通过有效的合规管理，主动发现违法违规行为，积极妥善处理，落实责任追究，完善内部控制制度和业务流程并及时向住所地证监局报告的，依法免于追究责任或从轻、减轻处理。

For violation of law and regulation by securites companies, if the compliance director has stopped and reported based on the prescription, legal responsibility will be exempted.

对于证券公司的违法违规行为，合规总监已经按照规定履行制止和报告职责的，免除责任。

Article 26 If securites companies hasn’t performed effective compliance management, internal control is incomplete or there’s any violation behavior, the board of director, senior management and other personnel that hold responsible for the company shall be subject to supervising measure or pursuit of legal responsibility.