(tracking changes in laws and regulations; Formulate compliance policies and procedures; Identifying, recording, evaluating and consulting compliance risks in specific businesses; Participate in the approval of new business or new products, etc. ).
2. Internal compliance training. ? Provide training on compliance requirements, industry practices and formulation of laws and regulations (compliance induction training, specific business compliance training, continuous compliance training).
3. Monitor violations of laws and regulations within the company. ? Monitor some behaviors of the company to discover potential behaviors that violate existing laws, regulations and policies (anti-money laundering, anti-commercial bribery, company and employee licensing, conflict of interest, information isolation, market supervision, customer complaints, internal reports, communication with regulatory authorities, etc.). ).
Extended data
The articles of association of a securities company shall stipulate the position, responsibilities, appointment and removal conditions and procedures of the compliance director.
Article 9 A compliance director shall meet the following conditions:
(1) Obtaining the post qualification of a senior manager of a securities company;
(two) familiar with the securities business, familiar with the securities laws, regulations and standards, and have the professional knowledge and skills required for compliance management;
(three) engaged in securities work for more than 5 years, and passed the relevant professional examinations or have more than 8 years of legal work experience; Or have worked in a professional supervision position of a securities regulatory agency for more than 8 years.