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

第五条证券公司应当制定合规管理的基本制度，经董事会审议通过后实施。合规管理的基本制度应当包括合规管理的目标、基本原则、机构设置及其职责，以及违规事项的报告、处理和责任追究办法等内容。

Article 6 Board of directors, board of supervisors and senior management of securites companies shall perform roles and responsibilities related to compliance management based on law, regulation and company rule, and hold responsible for effectiveness of company compliance management.

第六条证券公司董事会、监事会和高级管理人员依照法律、法规和公司章程的规定，履行与合规管理有关的职责，对公司合规管理的有效性承担责任。

Principals of each department and branch of the securities company shall enhance supervision and administration of the compliance of occupational conduct of working staff in the department and branch, and hold responsible for effectiveness of compliance management in the department and branch.

证券公司各部门和分支机构负责人应当加强对本部门和分支机构工作人员执业行为合规性的监督管理，对本部门和分支机构合规管理的有效性承担责任。

All staff in the securities company shall get familiar with law, regulation and rule related to specific occupational behavior, take initiative to identify, control compliance risk of the occupational behavior, and hold responsible for compliance of their occupational behavior.