Compliance culture of securities companies refers to a corporate culture that emphasizes compliance management, standardized operation and compliance with regulatory requirements in order to achieve long-term and steady development of the company. The connotation of compliance culture includes the following aspects:
Compliance awareness. Compliance awareness is the core of compliance culture, which means that employees should consciously abide by laws and regulations, industry norms and company rules and regulations, consciously resist illegal acts, and raise awareness of compliance risks.
Compliance management. Compliance management is an important part of the compliance culture of securities companies, which means that companies should establish and improve the compliance management system, improve the compliance management framework, clarify the responsibilities of compliance management, formulate compliance management processes, strengthen compliance risk assessment and monitoring, and timely discover and correct non-compliance behaviors.
Publicity and education of compliance culture. Publicity and education of compliance culture is one of the key points in the construction of compliance culture of securities companies, that is, companies should popularize compliance knowledge through training, publicity and education, improve employees' awareness and quality of compliance, and create a good compliance culture atmosphere.
Compliance supervision. Compliance supervision is the guarantee for the construction of compliance culture of securities companies, which means that the company should establish and improve the compliance supervision mechanism and comprehensively supervise the company's business activities, management processes and employee behaviors. , and timely find and correct non-compliance behavior.
Compliance risk control. Compliance risk control is the key to the construction of compliance culture of securities companies, that is, companies should establish and improve compliance risk control mechanisms, strengthen risk assessment, monitoring and response, and effectively control risks and losses caused by non-compliance behaviors.
In a word, the compliance culture of securities companies is a kind of corporate culture, which emphasizes compliance management, standardized operation and compliance with regulatory requirements in order to realize the long-term steady development of the company. This culture requires the company to strengthen the control of compliance risks from the aspects of system construction, management structure, publicity and education, supervision and inspection, improve the compliance awareness and quality of employees, and create a good compliance culture atmosphere, thus promoting the company's sustainable development.