第十二条 合规总监应当对公司内部管理制度、重大决策、新产品和新业务方案等进行合规审查，并出具书面的合规审查意见。



If securities supervision and administration institute requires securites companies to conduct compliance audit for submitted application document or report, the compliance director shall implement the audit and put clear suggestion in the application material or report.

证券监管机构要求对公司报送的申请材料或报告进行合规审查的，合规总监应当审查，并在该申请材料或报告上签署明确意见。

Article 13 Compliance director shall adopt effective measures to supervise compliance of business management and occupational conduct of the company as well as working staff, and implement regular or irregular inspection based on requirement of securities regulatory institute and company prescription.

第十三条 合规总监应当采取有效措施，对公司及其工作人员的经营管理和执业行为的合规性进行监督，并按照证券监管机构的要求和公司规定进行定期、不定期的检查。



Compliance director shall organize and implement company anti-money washing and information isolation wall system, provide compliance consultation to senior management, each department and branch, organize compliance training and handle claim and report on violation behavior of the company and working staff.

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