| Notice of the Securities Association of China on Issuing the Guidelines for the Compliance Management of Securities Companies | | 中国证券业协会关于发布《证券公司合规管理实施指引》的通知 |
| (No. 208 [2017] of the Securities Association of China) | | （中证协发[2017]208号） |
| All securities companies: | | 各证券公司： |
| For the purposes of directing securities companies to effectively carry out the Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies, and enhancing the compliance management of securities companies, the Securities Association of China (“SAC”) has organized the drafting of the Guidelines for the Compliance Management of Securities Companies, which, as voted through at the 2nd Session of the Sixth Executive Council of the SAC and granted recordation by the China Securities Regulatory Commission, are hereby issued, and shall come into force on October 1, 2017. | | 为指导证券公司有效落实《证券公司和证券投资基金管理公司合规管理办法》，提升证券公司合规管理水平，我会组织起草了《证券公司合规管理实施指引》，经协会第六届常务理事会第2次会议表决通过，并向中国证监会备案，现予发布，自2017年10月1日起实施。 |
| Securities Association of China | | 中国证券业协会 |
| September 8, 2017 | | 2017年9月8日 |
| Guidelines for the Compliance Management of Securities Companies | | 证券公司合规管理实施指引 |
| Chapter I General Provisions | | 第一章 总则 |
| Article 1 These Guidelines are developed for the purposes of directing securities companies to effectively carry out the Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies (hereinafter referred to as the “Measures”) and enhancing the compliance management of securities companies. | | 第一条 为指导证券公司有效落实《证券公司和证券投资基金管理公司合规管理办法》（以下简称办法），提升证券公司合规管理水平，制定本指引。 |
| Article 2 A securities company shall establish and insist on the following compliance concepts: | | 第二条 证券公司应当树立并坚守以下合规理念： |
| (1) Compliance of all employees. Compliance is the basic code of conduct for all employees of a securities company. All employees of the securities company shall strictly comply with laws, regulations and rules, and actively prevent, find and resolve compliance risks. | | （一）全员合规。合规是证券公司全体工作人员的基本行为准则。证券公司全体工作人员应当严格遵守法律、法规和准则，主动防范、发现并化解合规风险。 |
| (2) Compliance shall be first conducted by the management. The securities company shall establish a sound corporate governance structure, ensure that the board of directors effectively exercises major decision-making and supervision functions, and ensure that the board of supervisors effectively exercises the supervision function. The board of directors, the board of supervisors and senior executives of the securities company shall pay attention to the compliance of the company's business operation, assume the responsibility for effectively managing the company's compliance risks, actively practice and promote the compliance culture, and promote the company's compliance operation. | | （二）合规从管理层做起。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。 |
| (3) Compliance creates value. The securities company shall prevent and resolve compliance risks through effective compliance management, enhance management and business capability, and create value for institutions, the industry and the society. | | （三）合规创造价值。证券公司应当通过有效的合规管理防范并化解合规风险，提升管理和业务能力，为机构自身、行业和社会创造价值。 |
| (4) Compliance is the basis for the existence of the company. The securities company shall attach more importance to compliance management, insist on compliance operation, and lay a basis for the normal operation and long-term sustainable development of the company. | | （四）合规是公司的生存基础。证券公司应当提升合规管理重视程度，坚持合规经营，为公司正常经营及长期可持续发展奠定基础。 |
| Article 3 A securities company shall develop basic rules for compliance management, which shall be implemented after deliberation and adoption at the board of directors. The basic rules on compliance management shall cover such content as the objective and basic principles of compliance management, setup of institutions and their functions, guarantee for the performance of functions, compliance examination, reporting and handling of matters on regulatory violations, and accountability. | | 第三条 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、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。 |
| The securities company shall, in light of its actual business operation, develop specific management rules or operating procedures for directing the implementation of business activities in accordance with laws and regulations, and effectively strengthen the compliance management of all kinds of business activities. | | 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。 |
| The securities company shall develop the code of conduct for the practice of employees, direct employees to establish a sound awareness of compliance practice and morality code of conduct, and ensure that the practice of employees complies with laws and regulations. | | 证券公司应当制定工作人员执业行为准则，引导工作人员树立良好的合规执业意识和道德行为规范，确保工作人员执业行为依法合规。 |
| The securities company shall take effective measures to guarantee the professional and vocational level of compliance managers. | | 证券公司应当采取有效措施保障合规管理人员的专业化、职业化水平。 |
| Article 4 A securities company and its employees shall abide by the professional ethics and codes of conduct generally acknowledged by the industry, including but not limited to honesty and trustworthiness, diligence and responsibility, professionalism and devotion, fair competition, giving priority to clients' interests, effectively preventing and resolving conflicts of interest in an appropriate manner, voluntarily maintaining the sound reputation and order of the industry, and actively assuming social responsibilities. | | 第四条 证券公司及其工作人员应当遵守行业公认普遍遵守的职业道德和行为准则，包括但不限于诚实守信、勤勉尽责、专业敬业、公平竞争、客户利益至上、有效防范并妥善处理利益冲突、自觉维护行业良好声誉和秩序、主动承担社会责任等。 |
| Article 5 A securities company shall effectively prevent and handle conflicts of interest in an appropriate manner, and when the conflicts of interest between the company and the client is involved, the principle of giving priority to clients' interests shall be adhered to. When the conflicts of interest between clients are involved, the principle of fair treatment of clients shall be adhered to. | | 第五条 证券公司应当有效防范并妥善处理利益冲突，在涉及到公司与客户之间的利益冲突时，应当坚持客户利益至上的原则；在涉及到客户与客户之间的利益冲突时，应当坚持公平对待客户的原则。 |
| Article 6 The Securities Association of China (hereinafter referred to as the “SAC”) shall conduct self-disciplinary management of compliance management of securities companies. | | 第六条 中国证券业协会（以下简称协会）对证券公司合规管理工作实施自律管理。 |
| Chapter II Compliance Management Functions | | 第二章 合规管理职责 |
| Article 7 The principal person in charge of business management, other senior executives, the person in charge of all affiliated entities and other employees of a securities company shall sufficiently understand and obtain the information on laws, regulations and rules relating to their business management and practice, sufficiently identify relevant compliance risks in business decision-making, operation management and practice, and actively prevent, respond to and report compliance risks. | | 第七条 证券公司经营管理主要负责人、其他高级管理人员、下属各单位负责人及其他工作人员应当充分了解和掌握与其经营管理和执业行为有关的法律、法规和准则，并在经营决策、运营管理和执业行为过程中充分识别相关的合规风险，并主动防范、应对和报告。 |
| Article 8 The principal person in charge of business management of a securities company shall assume responsibilities for the company's compliance operation, and perform the following compliance management functions: | | 第八条 证券公司经营管理主要负责人对公司合规运营承担责任，履行下列合规管理职责： |
| (1) Organizing the formulation of the company's rules and regulations and overseeing the implementation thereof. | | （一）组织制定公司规章制度，并监督其实施； |
| (2) Actively advocating the concept of compliance operation in routine operation, actively cultivating the company's compliance culture, diligently performing compliance management functions, and actively performing compliance management requirements. | | （二）主动在日常经营过程中倡导合规经营理念，积极培育公司合规文化，认真履行合规管理职责，主动落实合规管理要求； |
| (3) Attaching sufficient attention to the validity of the company's compliance management, and when finding any existing problem, requiring all affiliated entities and their employees to make improvement in a timely manner. | | （三）充分重视公司合规管理的有效性，发现存在问题时要求下属各单位及其工作人员及时改进； |
| (4) Urging and reminding other senior executives of the company to perform compliance management functions in a diligent manner in the fields under their charge, and perform compliance management requirements. | | （四）督导、提醒公司其他高级管理人员在其分管领域中认真履行合规管理职责，落实合规管理要求； |
| (5) Supporting the work of the chief compliance officer and the compliance department, and urging all affiliated entities to provide effective guarantee for the performance of functions by compliance managers. | | （五）支持合规总监及合规部门工作，督促下属各单位为合规管理人员履职提供有效保障； |
| (6) Supporting the chief compliance officer and the compliance department in reporting compliance risk matters to the board of directors and regulatory authorities according to regulatory requirements and the provisions of the company's rules. | | （六）支持合规总监及合规部门按照监管要求和公司制度规定，向董事会、监管部门报告合规风险事项； |
| (7) Sufficiently soliciting the compliance opinion of the chief compliance officer and the compliance department in the company's business decision-making. | | （七）在公司经营决策过程中，充分听取合规总监及合规部门的合规意见； |
| (8) Urging all affiliated entities of the company to conduct the self-examination of compliance risk matters or assist the company's investigation, conduct compliance accountability in strict accordance with the company's provisions, and carry out rectification measures. | | （八）督促公司下属各单位就合规风险事项开展自查或配合公司调查，严格按照公司规定进行合规问责，并落实整改措施。 |
| Article 9 Other senior executives of a securities company shall assume responsibility for the compliance operation of the fields under their charge, and perform the following compliance management functions: | | 第九条 证券公司其他高级管理人员对其分管领域的合规运营承担责任，履行下列合规管理职责： |
| (1) Organizing the implementation of all rules and regulations of the company in the fields under their charge, organizing the drafting and formulation of rules and regulations in the fields under their charge, and overseeing the implementation thereof. | | （一）在其分管领域组织贯彻执行公司各项规章制度，组织起草、制定其分管领域的规章制度，并监督其实施； |
| (2) Actively advocating the concept of compliance operation in the fields under their charge, and actively cultivating the company's compliance culture. | | （二）在其分管领域主动倡导合规经营理念，积极培育公司合规文化； |
| (3) Attaching sufficient attention to the validity of compliance management in the fields under their charge, and when finding any existing problem, requiring all affiliated entities and their employees to make improvement in a timely manner. | | （三）充分重视其分管领域合规管理的有效性，发现存在问题时要求分管领域下属各单位及其工作人员及时改进； |
| (4) Reminding and urging the persons in charge of all affiliated entities in the fields under their charge to diligently perform compliance management functions, and carry out compliance management requirements. | | （四）提醒、督导分管领域下属各单位负责人认真履行合规管理职责，落实合规管理要求； |
| (5) Supporting the work of compliance managers of all affiliated entities in the fields under their charge, and urging all affiliated entities in the fields under their charge to provide effective guarantee for the performance of functions by compliance managers. | | （五）支持分管领域下属各单位合规管理人员的工作，督促分管领域下属各单位为合规管理人员履职提供有效保障； |
| (6) Supporting all affiliated entities in the fields under their charge and their compliance managers to report compliance risk matters to the company and compliance department in accordance with the provisions of the company's rules. | | （六）支持分管领域下属各单位及其合规管理人员按照公司制度规定，向公司及合规部门报告合规风险事项； |
| (7) Soliciting the compliance opinion of the company's compliance department and compliance managers of all affiliated entities in the fields under their charge and paying sufficient attention in business decision-making within the scope of their functions. | | （七）在其职责范围内的经营决策过程中，听取公司合规部门及分管领域下属各单位合规管理人员的合规意见，并给予充分关注； |
| (8) Urging all affiliated entities in the fields under their charge to conduct self-inspection on compliance risk matters or assist in the company's investigation, investigate the liability for compliance in strict accordance with the company's provisions, and carry out rectification measures. | | （八）督促分管领域下属各单位就合规风险事项开展自查或配合公司进行调查，严格按照公司规定进行合规问责，并落实整改措施。 |
| Article 10 The person in charge of an affiliated entity of a securities company shall be responsible for carrying out the compliance management requirements of its entity, assume responsibility for the compliance operation of the entity, and perform the following compliance management functions: | | 第十条 证券公司下属各单位负责人负责落实本单位的合规管理要求，对本单位合规运营承担责任，履行下列合规管理职责： |
| (1) Carrying out all rules and regulations of the company in the entity, organizing the drafting and implementation of rules and regulations relating to the functions of the entity, and overseeing the implementation thereof. | | （一）在本单位组织贯彻执行公司各项规章制度，组织起草、制定与本单位职责相关的规章制度，并监督其实施； |
| (2) Establishing and improving the entity's compliance management rules and mechanism, and embedding compliance requirements of all business activities in business management rules and operating procedures. | | （二）建立并完善本单位的合规管理制度与机制，将各项经营活动的合规性要求嵌入业务管理制度与操作流程中； |
| (3) Actively advocating the concept of compliance operation in the entity and actively cultivating the company's compliance culture. | | （三）在本单位主动倡导合规经营理念，积极培育公司合规文化； |
| (4) Actively assisting in the work of the chief compliance officer and the compliance department, and diligently soliciting and implementing the compliance management opinions of the chief compliance officer and the compliance department. | | （四）积极配合合规总监及合规部门的工作，认真听取并落实合规总监及合规部门提出的合规管理意见； |
| (5) Assigning qualified compliance managers to the entity, and avoiding the distribution of work in conflict with the performance of compliance functions. | | （五）为本单位配备合格合规管理人员，避免分配与其履行合规职责相冲突的工作； |
| (6) Supporting the work of compliance managers of the entity, providing performance guarantee for compliance managers of the entity, including but not limited to participating in the entity's important meetings, consulting the entity's various types of business and management documents, and sufficiently respecting their rights to offer professional compliance opinions in an independent manner. | | （六）支持本单位合规管理人员的工作，为本单位合规管理人员提供履职保障，包括但不限于参与本单位重要会议、查阅本单位各类业务与管理文档、充分尊重其独立发表合规专业意见的权利等； |
| (7) Sufficiently demonstrating the compliance with laws and regulations of the business before conducting the business, sufficiently soliciting the compliance examination opinion of compliance managers of the entity, effectively assessing the compliance risks of the business, and actively avoiding the implementation of any business with compliance risks. | | （七）在业务开展前应当充分论证业务的合法合规性，充分听取本单位合规管理人员的合规审查意见，有效评估业务的合规风险，主动避免开展存在合规风险的业务； |
| (8) When he or she finds any compliance risk matter relating to the entity's business, it shall report the matter in a timely manner according to the company's rules, offer rectification measures, and urge the rectification. | | （八）发现与本单位业务相关的合规风险事项时，及时按公司制度规定进行报告，提出整改措施，并督促整改落实。 |
Article 11 All employees of a securities company shall be responsible for the compliance of all business matters and practice within the scope of their business activities, and perform the following compliance management functions:
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