Compliance management in this provision refers to such behaviors of securites companies as development and implementation of compliance management system, establishment of compliance management mechanism, cultivation of compliance culture and prevention of compliance risk.

本规定所称合规管理，是指证券公司制定和执行合规管理制度，建立合规管理机制，培育合规文化，防范合规风险的行为。

Compliance in this provision refers to compliance of business management of securites companies and occupational behavior of its working staff with law, regulation, rule and other normative document, behavior criteria, rule of self discipline, company rule and system, and occupational ethics and conduct code (hereinafter referred to as “law, regulation and rule”) that are widely known in the industry and universally observed.

本规定所称合规，是指证券公司及其工作人员的经营管理和执业行为符合法律、法规、规章及其他规范性文件、行业规范和自律规则、公司内部规章制度，以及行业公认并普遍遵守的职业道德和行为准则(以下统称“法律、法规和准则”)。



Compliance risk in this provision refers to risk of legal sanction, being subject to supervisory measure, loss of property or reputation on securites companies, when the business management of securites companies or occupational behavior of its working staff violates law, regulation or rule.

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