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

Article 11 When the compliance director can't perform responsibility or the position is vacancy, securites companies shall appoint a substitutive senior management and submit written report to local securities regulatory bureau within 3 working days of the appointed date.

第十一条合规总监不能履行职责或缺位时，证券公司应当指定一名高级管理人员代行其职责，并自指定之日起3个工作日内向公司住所地证监局作出书面报告

The substitutive compliance director shalln't administrate department that's in conflict with role and responsibility of compliance management. The substitutive period shall not exceed 6 months.

代行合规总监职责的人员不得分管与合规管理职责相冲突的部门，代行职责的时间不得超过6个月。

If the position of compliance director is vacancy, the company shall, within 6 months, employ someone, who meets requirement prescribed in article 9 of this provision to assume compliance director position.

合规总监缺位的，公司应当在6个月内聘请符合本规定第九条规定的人员担任合规总监。

Article 12 Compliance director shall conduct compliance audit of company internal management system, major decision, new product and new business proposals and issue written compliance audit suggestion.