双语阅读证券公司合规管理试行规定
China Securities Regulatory Commission Official Bulletin No.30 [2008]
中国证券监督管理委员会公告 [2008]30号
Interim Provisions on Compliance Management of Securites Companies is hereby announced and shall take effect on August 1, 2008.
现公布《证券公司合规管理试行规定》，自 2008年8月1日起施行。
China Securities Regulatory Commission July 14, 2008
中国证券监督管理委员会 二○○八年七月十四日
Interim Provisions on Compliance Management of Securites Companies
证券公司合规管理试行规定
Article 1 This provision is formulated to promote securites companies enhancing internal compliance management, strengthen self restraint capability and realize sustainable and standardized development, according to the Securities Law and Regulation on Supervision and the Administration of Securities Companies.
第一条 为了促进证券公司加强内部合规管理，增强自我约束能力，实现持续规范发展，根据《证券法》和《证券公司监督管理条例》，制定本规定。
Article 2 Securites companies that is set up in Chinese territory shall implement compliance management based on this provision.
第二条 在中华人民共和国境内设立的证券公司应当按照本规定实施合规管理。
Compliance management in this provision refers to such behaviors of securites companies as development and implementation of compliance management system, establishment of compliance management mechanism, cultivation of compliance culture and prevention of compliance risk.
本规定所称合规管理，是指证券公司制定和执行合规管理制度，建立合规管理机制，培育合规文化，防范合规风险的行为。
Compliance in this provision refers to compliance of business management of securites companies and occupational behavior of its working staff with law, regulation, rule and other normative document, behavior criteria, rule of self discipline, company rule and system, and occupational ethics and conduct code (hereinafter referred to as “law, regulation and rule”) that are widely known in the industry and universally observed.
本规定所称合规，是指证券公司及其工作人员的经营管理和执业行为符合法律、法规、规章及其他规范性文件、行业规范和自律规则、公司内部规章制度，以及行业公认并普遍遵守的职业道德和行为准则(以下统称“法律、法规和准则”)。
Compliance risk in this provision refers to risk of legal sanction, being subject to supervisory measure, loss of property or reputation on securites companies, when the business management of securites companies or occupational behavior of its working staff violates law, regulation or rule.
本规定所称合规风险，是指因证券公司或其工作人员的经营管理或执业行为违反法律、法规或准则而使证券公司受到法律制裁、被采取监管措施、遭受财产损失或声誉损失的风险。
Article 3 Compliance management of securites companies shall cover all businesses, each department and branch of the company, and go through various steps like decision making, implementation, supervision and feedback.
第三条 证券公司的合规管理应当覆盖公司所有业务、各个部门和分支机构、全体工作人员，贯穿决策、执行、监督、反馈等各个环节。
Article 4 Securites companies shall build philosophy of legal operation, compliance by all working staff starting from top to bottom, advocate and facilitate establishment of compliance culture, and raise compliance awareness of all staff.
第四条 证券公司应当树立合规经营、全员合规、合规从高层做起的理念，倡导和推进合规文化建设，培育全体工作人员的合规意识。
Article 5 Securites companies shall formulate basic system for compliance management and implement it after approval from the BOD. Basic systems of compliance management include target, basic principle, organization structure, roles and responsibility of compliance management, report, handling and legal responsibility pursuing of violation.
第五条 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。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，以及违规事项的报告、处理和责任追究办法等内容。
Article 6 Board of directors, board of supervisors and senior management of securites companies shall perform roles and responsibilities related to compliance management based on law, regulation and company rule, and hold responsible for effectiveness of company compliance management.
第六条 证券公司董事会、监事会和高级管理人员依照法律、法规和公司章程的规定，履行与合规管理有关的职责，对公司合规管理的有效性承担责任。
Principals of each department and branch of the securities company shall enhance supervision and administration of the compliance of occupational conduct of working staff in the department and branch, and hold responsible for effectiveness of compliance management in the department and branch.
证券公司各部门和分支机构负责人应当加强对本部门和分支机构工作人员执业行为合规性的监督管理，对本部门和分支机构合规管理的有效性承担责任。
All staff in the securities company shall get familiar with law, regulation and rule related to specific occupational behavior, take initiative to identify, control compliance risk of the occupational behavior, and hold responsible for compliance of their occupational behavior.
证券公司的全体工作人员都应当熟知与其执业行为有关的法律、法规和准则，主动识别、控制其执业行为的合规风险，并对其执业行为的合规性承担责任。
Article 7 Securites companies shall organize related internal organization and department, or entrusting external professional institute to conduct evaluation of effectiveness of company compliance management upon requirement, resolve problems existed in compliance management, and conduct overall evaluation of compliance management effectiveness at least once each year.
第七条 证券公司应当根据需要，组织内部有关机构和部门或者委托外部专业机构对公司合规管理的有效性进行评估，及时解决合规管理中存在的问题。对公司合规管理有效性的全面评估，每年不得少于一次。
Article 8 Securites companies shall set up director position of compliance management. Such compliance management director is the principal of company compliance, and hold responsible for inspecting, supervising and checking of compliance of business management and occupational behavior of the company as well as the working staff.
第八条 证券公司设合规总监。合规总监是公司的合规负责人，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审查、监督和检查。
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.
(三)从事证券工作5年以上，并且通过有关专业考试或具有8年以上法律工作经历;或在证券监管机构的专业监管岗位任职8年以上。
The professional exam mentioned in (3) above refers to exam on compliance management capability of securites companies, national judicial examination, or lawyer qualification exam.
前款第(三)项所称专业考试，是指中国证券业协会组织的证券公司合规管理人员胜任能力考试、国家司法考试或律师资格考试。
Article 10 Securites companies shall submit resume and related certificate material of the appointee to local securities regulatory bureau while employing a compliance director. After being approved by local securities regulatory bureau, the compliance director can take post.
第十条 证券公司聘任合规总监，应当向公司住所地证监局报送拟任人简历及有关证明材料。经公司住所地证监局认可后，合规总监方可任职。
Securites companies shall have appropriate reason for dismissing compliance director and submit written report of fact and reason of the dismission, within 3 working days from the dismissing day, to local securities regulatory bureau.
证券公司解聘合规总监，应当有正当理由，并自解聘之日起3个工作日内，将解聘的事实和理由书面报告公司住所地证监局。
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.
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.
合规总监应当组织实施公司反洗钱和信息隔离墙制度，按照公司规定为高级管理人员、各部门和分支机构提供合规咨询、组织合规培训，处理涉及公司和工作人员违法违规行为的投诉和举报。
Article 14 If compliance director finds violation behavior of law or regulation or compliance risk in the company, he shall report to internal institute prescribed in company rule as well as local securities regulatory bureau in time; if such behavior violates industrial standard and self discipline rule, report shall also be sent to related self discipline organization.
第十四条 合规总监发现公司存在违法违规行为或合规风险隐患的，应当及时向公司章程规定的内部机构报告，同时向公司住所地证监局报告;有关行为违反行业规范和自律规则的，还应当向有关自律组织报告。
For violation behavior and compliance risk potential, compliance director shall put forward suggestions to related company institute or department on stopping and handling of such violation behavior and risk potential, and urge the rectification. Securites companies shall report the rectification result to local regulatory bureau; and send a copy to related self discipline organization if necessary.
对违法违规行为和合规风险隐患，合规总监应当及时向公司有关机构或部门提出制止和处理意见，并督促整改。公司应当将整改结果报告住所地证监局;必要时，抄报有关自律组织。
Article 15 If law, regulation and rule are changed, compliance director shall suggest board of director or senior management to supervise related company department in a timely manner, evaluate impact to company compliance management, and modify and complete related management system and business procedure.
第十五条 法律、法规和准则发生变动，合规总监应当及时建议公司董事会或高级管理人员并督导公司有关部门，评估其对公司合规管理的影响，修改、完善有关管理制度和业务流程。
Article 16 Compliance director shall keep contact with securities supervision and administration institute and self discipline organization, and take initiative to cooperate with work of securities supervision and administration institute and self discipline organization.
第十六条 合规总监应当保持与证券监管机构和自律组织的联系沟通，主动配合证券监管机构和自律组织的工作。
Compliance director shall handle investigation required by securities supervision and administration institute and self discipline organization in a timely manner, cooperate with them on company inspection and investigation, follow up and evaluate implementing result of supervision suggestion and requirement.
合规总监应当及时处理证券监管机构和自律组织要求调查的事项，配合证券监管机构和自律组织对公司的检查和调查，跟踪和评估监管意见和监管要求的落实情况。
