Compliance management
Compliance management is an enterprise's "internal core risk management activity". According to the definition in the Trial Provisions on Compliance Management of Securities Companies, compliance management refers to the behavior of securities companies to formulate and implement compliance management systems, establish compliance management mechanisms, cultivate compliance culture and guard against compliance risks.
It means that the management and practice behavior of securities companies and their staff comply with laws, regulations, rules and other normative documents, industry norms and self-discipline rules, internal rules and regulations of the company, and professional ethics and codes of conduct recognized and generally observed by the industry.