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中证协:证券公司应制定合规管理制度

2017-09-09 07:06:50   中国经济网

■本报记者 侯捷宁

为提升证券公司合规管理水平,9月8日,中国证券业协会发布了《证券公司合规管理实施指引》(简称“指引”),并自2017年10月1日起实施。指引要求,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。

指引明确,证券公司应当建立完善的公司治理结构,确保董事会有效行使重大决策和监督功能,确保监事会有效行使监督职能;证券公司董事会、监事会、高级管理人员应当重视公司经营的合规性,承担有效管理公司合规风险的责任,积极践行并推广合规文化,促进公司合规经营。

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、履职保障、合规考核以及违规事项的报告、处理和责任追究等内容。证券公司应当结合本公司经营实际情况,制定指导经营活动依法合规开展的具体管理制度或操作流程,切实加强对各项经营活动的合规管理。

指引强调,合规总监不得兼任业务部门负责人及具有业务职能的分支机构负责人,不得分管业务部门及具有业务职能的分支机构,不得在下属子公司兼任具有业务经营性质的职务。证券公司不得向合规总监、合规部门及其他合规管理人员分配或施加业务考核指标与任务。

此外,合规检查分为例行检查与专项检查。指引要求,发生下列情形时,应当进行专项检查:公司发生违法违规行为或存在合规风险隐患的;其他有必要进行专项检查的情形。证券公司相关违法违规行为频发的,应当增加合规检查频次。

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