本规定所称合规风险，是指因证券公司或其工作人员的经营管理或执业行为违反法律、法规或准则而使证券公司受到法律制裁、被采取监管措施、遭受财产损失或声誉损失的风险。

Article 3 Compliance management of securites companies shall cover all businesses, each department and branch of the company, and go through various steps like decision making, implementation, supervision and feedback.

第三条 证券公司的合规管理应当覆盖公司所有业务、各个部门和分支机构、全体工作人员，贯穿决策、执行、监督、反馈等各个环节。



Article 4 Securites companies shall build philosophy of legal operation, compliance by all working staff starting from top to bottom, advocate and facilitate establishment of compliance culture, and raise compliance awareness of all staff.

第四条 证券公司应当树立合规经营、全员合规、合规从高层做起的理念，倡导和推进合规文化建设，培育全体工作人员的合规意识。

Article 5 Securites companies shall formulate basic system for compliance management and implement it after approval from the BOD. Basic systems of compliance management include target, basic principle, organization structure, roles and responsibility of compliance management, report, handling and legal responsibility pursuing of violation.

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