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Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies [Not Yet Effective]
证券公司和证券投资基金管理公司合规管理办法 [尚未生效]
【法宝引证码】

 
Order of the China Securities Regulatory Commission 

中国证券监督管理委员会令

(No. 133) (第133号)

The Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies, as deliberated and adopted at the 3rd chairman's executive meeting in 2017 of the China Securities Regulatory Commission on April 27, 2017, are hereby issued, and shall come into force on October 1, 2017. 《证券公司和证券投资基金管理公司合规管理办法》已经2017年4月27日中国证券监督管理委员会2017年第3次主席办公会议审议通过,现予公布,自2017年10月1日起施行。
Chairman of the China Securities Regulatory Commission: Liu Shiyu 中国证券监督管理委员会主席:刘士余
June 6, 2017 2017年6月6日
Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies 证券公司和证券投资基金管理公司合规管理办法
Chapter I General Provisions 

第一章 总 则

 
Article 1 For the purpose of driving securities companies and securities investment fund management companies to strengthen their internal compliance management and realize sustainable and regulated development, these Measures are developed in accordance with the Company Law of the People's Republic of China, the Securities Law of the People's Republic of China, the Securities Investment Fund Law of the People's Republic of China, and the Regulation on the Supervision and Administration of Securities Companies.   第一条 为了促进证券公司和证券投资基金管理公司加强内部合规管理,实现持续规范发展,根据《中华人民共和国公司法》《中华人民共和国证券法》《中华人民共和国证券投资基金法》和《证券公司监督管理条例》,制定本办法。
Article 2 The securities companies and securities investment fund management companies formed within the territory of the People's Republic of China (hereinafter referred to as “securities and funds business institutions”) shall conduct compliance management in accordance with these Measures.   第二条 在中华人民共和国境内设立的证券公司和证券投资基金管理公司(以下统称证券基金经营机构)应当按照本办法实施合规管理。
For the purpose of these Measures, “compliance” means that the operation management and practicing behavior of a securities and funds business institution and its staff members are in compliance with the laws, regulations, rules, regulatory documents, industrial norms, self-regulatory rules, the internal rules and regulations of the company, and the professional ethics and code of conduct that are generally observed by the industry (hereinafter collectively referred to as “laws, regulations and norms”). 本办法所称合规,是指证券基金经营机构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)。
For the purpose of these Measures, “compliance management” means a securities and funds business institution's development and implementation of the compliance management rules, establishment of the compliance management mechanism and prevention of compliance risks. 本办法所称合规管理,是指证券基金经营机构制定和执行合规管理制度,建立合规管理机制,防范合规风险的行为。
For the purpose of these Measures, “compliance risks” means the risks that a securities and funds business institution is held legally liable in accordance with the law, given any regulatory measures or disciplinary action or suffers from property or reputation losses because the operation management or practicing behavior of the company or any of its staff members violates the laws, regulations or norms. 本办法所称合规风险,是指因证券基金经营机构或其工作人员的经营管理或执业行为违反法律法规和准则而使证券基金经营机构被依法追究法律责任、采取监管措施、给予纪律处分、出现财产损失或商业信誉损失的风险。
Article 3 The compliance management of a securities and funds business institution shall cover all business lines, all departments, all branch offices, subsidiary companies at all levels and all staff members of the company, and exist in all links including decision-making, execution, supervision and feedback, among others.   第三条 证券基金经营机构的合规管理应当覆盖所有业务,各部门、各分支机构、各层级子公司和全体工作人员,贯穿决策、执行、监督、反馈等各个环节。
Article 4 A securities and funds business institution shall build up the philosophy of compliance by all employees, top-down compliance, value creation bycompliance, and taking compliance as the foundation of the company's survival, advocate and promote the building of the compliance culture, cultivate the compliance awareness of all staff members, and improvethe sense of professional honorand professional and occupational capabilities of compliance managers.   第四条 证券基金经营机构应当树立全员合规、合规从管理层做起、合规创造价值、合规是公司生存基础的理念,倡导和推进合规文化建设,培育全体工作人员合规意识,提升合规管理人员职业荣誉感和专业化、职业化水平。
Article 5 The China Securities Regulatory Commission ( “CSRC”) shall conduct supervision and administration of the compliance management of securities and funds business institutions in accordance with the law. The local offices of the CSRC shall perform their duties and functions of supervision and administration according to authorization.   第五条 中国证券监督管理委员会(以下简称中国证监会)依法对证券基金经营机构合规管理工作实施监督管理。中国证监会派出机构按照授权履行监督管理职责。
The Securities Association of China (“SAC”),the Asset Management Association of China (“AMAC”) and other self-regulatory organizations (hereinafter referred to as “associations”) shall, in accordance with these Measures, develop detailed implementation rules, and conduct self-regulation ofthe compliance management of securities and funds business institutions. 中国证券业协会、中国证券投资基金业协会等自律组织(以下简称协会)依照本办法制定实施细则,对证券基金经营机构合规管理工作实施自律管理。
Chapter II Compliance Management Duties 

第二章 合规管理职责

 
Article 6 When conducting various business, a securities and funds business institution shall operate in compliance with regulations, diligently fulfill its duties, and adhere to the principle of “customers' interest first,” and abide by the following basic requirements:   第六条 证券基金经营机构开展各项业务,应当合规经营、勤勉尽责,坚持客户利益至上原则,并遵守下列基本要求:
(1) Fully understanding customers' basic information, financial status, investment experience, investment objectives, risk preference, integrity records and other information and update such information in a timely manner. (一)充分了解客户的基本信息、财务状况、投资经验、投资目标、风险偏好、诚信记录等信息并及时更新。
(2) Dividing in a reasonable manner customer categories and product and service risk levels, so as to ensure that the appropriate products and services are provided for appropriate customers without deception. (二)合理划分客户类别和产品、服务风险等级,确保将适当的产品、服务提供给适合的客户,不得欺诈客户。
(3) Continuously urging customers to regulate the issuance of securities, conducting dynamic monitoring of customers' trading activities, and reporting in a timely manner and handling in accordance with the law major abnormal behavior; and avoiding providing convenience for customer' illegally engaging in securities issuance and trading activities. (三)持续督促客户规范证券发行行为,动态监控客户交易活动,及时报告、依法处置重大异常行为,不得为客户违规从事证券发行、交易活动提供便利。
(4) Strictly regulating the practicing behavior of staff members, urging staff members to diligently fulfill their duties, and preventing them from engaging in any acts that violate laws or regulations, overstep the authority, or otherwise damage the lawful rights and interests of customers by taking advantage of their posts. (四)严格规范工作人员执业行为,督促工作人员勤勉尽责,防范其利用职务便利从事违法违规、超越权限或者其他损害客户合法权益的行为。
(5) Effectively managing the insider information and undisclosed information, and preventing the company and its staff members from trading securities or suggesting others trading securities by utilizing such information or disclosing such information. (五)有效管理内幕信息和未公开信息,防范公司及其工作人员利用该信息买卖证券、建议他人买卖证券,或者泄露该信息。
(6) Timely identifying and properly handling the conflict of interest between the company and its customers, between different customers, and between different business lines of the company, so as to effectively maintain customers' interests and fairly treat customers. (六)及时识别、妥善处理公司与客户之间、不同客户之间、公司不同业务之间的利益冲突,切实维护客户利益,公平对待客户。
(7) Performingthe procedures for the deliberation of affiliated transactions and information disclosure obligation in accordance with the law, guaranteeing the fairness of affiliated transactions, and preventing illegal affiliated transactions andtunneling. (七)依法履行关联交易审议程序和信息披露义务,保证关联交易的公允性,防止不正当关联交易和利益输送。
(8) Prudently evaluating the impacts ofthe company's operation management on the securities market, and taking effective measures to prevent the disruption of the market order. (八)审慎评估公司经营管理行为对证券市场的影响,采取有效措施,防止扰乱市场秩序。
Article 7 The board of directors of a securities and funds business institution shall determine the compliance management objectives of the company, assume responsibility for the effectiveness of compliance management, and perform the following compliance management duties:   第七条 证券基金经营机构董事会决定本公司的合规管理目标,对合规管理的有效性承担责任,履行下列合规管理职责:
(1) Deliberating and approving the basic compliance management rules. (一)审议批准合规管理的基本制度;
(2)Deliberating and approving the annual compliance report. (二)审议批准年度合规报告;
(3) Deciding to dismiss the senior executives who assume the primary andleadershipresponsibility forthe occurrence of major compliance risks. (三)决定解聘对发生重大合规风险负有主要责任或者领导责任的高级管理人员;
(4) Deciding to appoint, dismiss, or assess chief compliance officer, and deciding the remuneration and treatment thereof. (四)决定聘任、解聘、考核合规负责人,决定其薪酬待遇;
(5) Establishing the mechanism for direct communicationwith chief compliance officer. (五)建立与合规负责人的直接沟通机制;
(6) Evaluating the effectiveness of compliance management, and urging the resolution of problems existing in compliance management. (六)评估合规管理有效性,督促解决合规管理中存在的问题;
(7) Other compliance management duties as stated in the bylaws of the company. (七)公司章程规定的其他合规管理职责。
Article 8 The board of supervisors or a supervisor of a securities and funds business institution shall perform the following compliance management duties:   第八条 证券基金经营机构的监事会或者监事履行下列合规管理职责:
(1) Supervising the performance of compliance management duties by directors and senior executives. (一)对董事、高级管理人员履行合规管理职责的情况进行监督;
(2) Proposing the dismissal of the directors and senior executives who assume the primary or leadershipresponsibility for the occurrence ofmajor compliance risks. (二)对发生重大合规风险负有主要责任或者领导责任的董事、高级管理人员提出罢免的建议;
(3) Other compliance management duties as stated in the bylaws of the company. (三)公司章程规定的其他合规管理职责。
Article 9 The senior executives of a securities and funds business institution shall take charge of implementing the compliance management objectives, assume the responsibility for compliance operation, and perform the following compliance management duties:   第九条 证券基金经营机构的高级管理人员负责落实合规管理目标,对合规运营承担责任,履行下列合规管理职责:
(1) Establishing and improving the organizational structure of compliance management, following compliance management procedures, employing adequate and appropriate compliance managers, and providing sufficienthuman resources, material resources, financial resources and technical support and guarantee for their performance of duties. (一)建立健全合规管理组织架构,遵守合规管理程序,配备充足、适当的合规管理人员,并为其履行职责提供充分的人力、物力、财力、技术支持和保障;
(2) Reporting and making rectifications of the violations of laws and regulations found, and implementing the accountability. (二)发现违法违规行为及时报告、整改,落实责任追究;
(3) Other compliance management duties as stated in the bylaws of the company or determined by the board of directors. (三)公司章程规定或者董事会确定的其他合规管理职责。
Article 10 The persons in charge of all departments, all branch offices and subsidiaries at all levels of a securities and funds business institution (hereinafter referred to as “all subordinate entities”) shall take charge of implementing the compliance management objectives of the entity, and assume the responsibility for the compliance operation of the entity.   第十条 证券基金经营机构各部门、各分支机构和各层级子公司(以下统称下属各单位)负责人负责落实本单位的合规管理目标,对本单位合规运营承担责任。
All staff members of a securities and funds business institution shall abide by the laws, regulations and norms related to their practicing behavior, take the initiative to identify and control the compliance risks of their practicing behavior and assume the responsibility for the compliance of their practicing behavior. 证券基金经营机构全体工作人员应当遵守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。
Where a subordinate entity or any of its staff members finds any violation of laws or regulations or any hidden compliance risk, it or he shall take the initiative to report to the chief compliance officer in a timely manner. 下属各单位及工作人员发现违法违规行为或者合规风险隐患时,应当主动及时向合规负责人报告。
Article 11 Securities and funds business institutions shall have chief compliance officers. A chief compliance officer is a senior executive who is directlyresponsible to the board of directors, and shall examine, supervise and inspect the compliance of the operation management and practicing behavior of the company and its staff members.   第十一条 证券基金经营机构设合规负责人。合规负责人是高级管理人员,直接向董事会负责,对本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。
A chief compliance officer may not concurrently hold a post that conflicts with the compliance management duties nor take charge of managing a department that conflicts with the compliance management duties. 合规负责人不得兼任与合规管理职责相冲突的职务,不得负责管理与合规管理职责相冲突的部门。
The bylaws of a securities and funds business institution shall specify the duties of the chief compliance officer, and the conditions and procedures for his appointment and dismissal, among others. 证券基金经营机构的章程应当对合规负责人的职责、任免条件和程序等作出规定。
Article 12 The chief compliance officer of a securities and funds business institution shall organize the drafting of the basic compliance management rules and other compliance management rules, and urge and guide the implementation of such rules by all subordinate entities.   第十二条 证券基金经营机构合规负责人应当组织拟定合规管理的基本制度和其他合规管理制度,督导下属各单位实施。
The basic compliance management rules shall specify the objectives and basic principles of compliance management, the setup of institutions and the duties thereof, as well as the reporting, handling and accountability of violations of laws and regulations and hidden compliance risks, among others. 合规管理的基本制度应当明确合规管理的目标、基本原则、机构设置及其职责,违法违规行为及合规风险隐患的报告、处理和责任追究等内容。
Where any law, regulation or norm changes, the chief compliance officer shall inform the board of directors or senior executives of the company of the change, and urge the relevant department to evaluate the impact of the change on the company's compliance management and to modify and improve the relevant rules and business processes. 法律法规和准则发生变动的,合规负责人应当及时建议董事会或高级管理人员并督导有关部门,评估其对合规管理的影响,修改、完善有关制度和业务流程。
Article 13The chief compliance officer of a securities and funds business institution shall make compliance examination on the internal rules and regulations, major decisions, and new products and new business schemes, among others, of the securities and funds business institution, and issue written compliance examination opinions.   第十三条 合规负责人应当对证券基金经营机构内部规章制度、重大决策、新产品和新业务方案等进行合规审查,并出具书面合规审查意见。
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