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证券公司和基金公司合规管理办法将于10月1日起施行
新华社北京6月10日电(记者刘慧、王都鹏)中国证监会9日公布《证券公司和证券投资基金管理公司合规管理办法》,自2017年10月1日起施行。
该办法对原有制度规则进行了六方面的修订完善:一是尝试原则导向,对各类业务的规范运营提出八条通用原则;二是进一步强化全员合规,厘清董事会、高级管理人员、合规负责人等各方合规管理责任;三是优化合规管理组织体系,对证券基金经营机构合规系统建设、部门设置、合规人员数量和质量提出基本标准;四是强化合规负责人专业化和职业化水平,同时提升专业经验和法律素质要求;五是改善合规负责人履职保障,采取措施维护其独立性、权威性、知情权和薪酬待遇;六是强化监督管理,对证券基金经营机构及其高级管理人员、合规负责人未能有效实施合规管理等违规行为依法追责。
证监会新闻发言人邓舸介绍,经过多年实践,证券公司和证券投资基金管理公司合规管理工作取得了初步成效,但也存在将合规管理仅作为合规部门的职责、合规负责人履职保障不足、追责力度不够等问题。在总结实践经验基础上,证监会对《证券公司合规试行规定》和《督察长规定》进行了修订,起草了统一的《证券公司和证券投资基金管理公司合规管理办法》。
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