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

The compliance management director shall neither shaller other position that has conflict with the role and responsibility of compliance management nor administrate department that in conflict with role and responsibility of compliance management.

合规总监不得兼任与合规管理职责相冲突的职务，不得分管与合规管理职责相冲突的部门。

Rule of Securites companies shall prescribe on position, role and responsibility, appointment and removal condition, procedure and so on.

证券公司的章程应当对合规总监的地位、职责、任免条件和程序等作出规定。

Article 9 Compliance director shall meet the following condition for the position:

第九条合规总监应当具备下列任职条件：

(1)Acquired senior management qualification of securites companies;

(一)取得证券公司高级管理人员任职资格;

(2)Got familiar with securities business, understood securities law, regulation and rule, and had related know-how and expertise of compliance management;

(二)熟悉证券业务，通晓证券法律、法规和准则，具有胜任合规管理工作需要的专业知识和技能;

(3)Engaged in securities work for over five years and passed concerning professional exam or had at least 8 years' experience; or had took the position of professional supervision for more than 8 years in securities supervision and administration institute.