For mistake A, according to Article 16 of the Guidelines for Internal Control of Investment Banking Business of Securities Companies, a securities company should set up a core person in charge to be fully responsible for the core work. The person in charge of the kernel shall not concurrently hold a position that conflicts with his duties, and shall not be in charge of a department that conflicts with his duties.
Error B, Article 18 stipulates that the compliance of investment banking business of securities companies refers to controlling the compliance risk of investment banking business through compliance review, sensitive information flow control, compliance inspection and rectification supervision, compliance training and other measures under the overall compliance management system of the company.
Error c, Article 21 stipulates that securities companies should implement centralized and unified management of investment banking commitments, clearly divide the responsibilities of headquarters and branches, and ensure that they carry out business activities within the authorized scope. Branches of securities companies that are not exclusively engaged in investment banking business shall not engage in investment banking business other than auxiliary activities such as project contracting. Except for the asset securitization business carried out by branches of securities companies specializing in asset management business.
Item d is correct. Article 24 stipulates that a securities company shall establish and improve a reasonable division of labor system for senior managers and strictly guard against conflicts of interest. The senior manager in charge of investment banking business shall not concurrently manage the departments or institutions that have or may have conflicts of interest with investment banking business.