Which department is responsible for the wall system?

According to the specific pathogen free Guidelines on Information of Securities Companies, the specific responsibilities of the board of directors, senior management, business departments and branches, employees, compliance director and compliance department are as follows:

The main person in charge of the board of directors and management of a securities company is the ultimate person in charge of the overall effectiveness of the general separation wall system of the company;

The heads of various business departments and branches are responsible for the effective management of the information wall system implemented by their own departments and institutions;

The staff of securities companies are directly responsible for observing the information isolation system in their practice activities;

The Compliance Director and Compliance Department are responsible for assisting the Board of Directors and senior management to establish and implement the information specific pathogen free, and are responsible for review, supervision, inspection, consultation and training.