20 19 securities qualification "laws and regulations" knowledge points: compliance management of securities companies

Sometimes, you have to go alone. This is not loneliness, but choice. We choose all the time, and what kind of life you choose will cost you. Since you have chosen the securities qualification, you should bravely move towards it, make a little progress every day, and have a solid foundation, so it will be easier to take the exam. Examination channel.

Compliance management of securities companies

(1) The concepts of compliance, compliance management and compliance risk of securities companies.

(2) The basic principles and requirements for securities companies to operate in compliance.

Securities companies should follow the principles of compliance, diligence and responsibility, and adhere to the principle of putting the interests of customers first. Securities company compliance should cover all businesses, all departments, branches, subsidiaries at all levels (subordinate units) and all employees, and run through all links such as decision-making, implementation, supervision and feedback.

1. Fully understand the customer's basic information, financial status, investment experience, investment objectives, risk preference, credit history and other information and update it.

2. Reasonably divide the customer categories and risk levels of products and services, ensure that the right products and services are provided to the right customers, and do not deceive customers.

3. Continue to urge customers to standardize securities issuance, dynamically monitor their trading activities, timely report and deal with major abnormal behaviors according to law, and shall not provide convenience for customers to engage in securities issuance and trading activities in violation of regulations.

4. Strictly regulate the practice behavior of staff, urge staff to be diligent and conscientious, and prevent them from taking advantage of their positions to engage in illegal activities, exceed their authority or other acts that harm the legitimate rights and interests of customers.

5. Effectively manage insider information and undisclosed information, and prevent the company and its staff from using the information to buy or sell securities, suggesting others to buy or sell securities or disclosing the information.

6. Identify and properly handle conflicts of interest between the company and customers, between different customers and between different businesses of the company, earnestly safeguard the interests of customers and treat customers fairly.

7. Perform related party transaction review procedures and information disclosure obligations according to law, ensure the fairness of related party transactions, and prevent improper related party transactions and interest transfer.

8. Carefully evaluate the impact of the company's business behavior on the securities market and take effective measures to prevent the market order from being disturbed.

(3) Responsibilities of the person in charge of compliance of the securities company

Senior management of the compliance officer; Be directly responsible to the board of directors, and review, supervise and inspect the compliance of the company and its employees' business management and practice behavior.

1. Provisions on Compliance Review and Compliance Inspection by Compliance Supervisor

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The person in charge of compliance shall conduct compliance review on the internal rules and regulations, major decisions, new products and new business plans of the securities company, and issue written compliance review opinions.

If a securities company does not adopt the compliance review opinions of compliance supervisors, it shall submit relevant matters to the board of directors for decision.

2. The provisions of the compliance director on the company's illegal behavior or compliance risk.

(1) According to the articles of association of the company, report to the board of directors and the main person in charge of operation and management in time, put forward handling opinions, and urge rectification;

② The person in charge of compliance should also urge the company to report to the relevant agencies of China Securities Regulatory Commission in a timely manner; If the company fails to report in time, it shall report directly to the relevant agency of China Securities Regulatory Commission;

(three) if the relevant acts violate the industry norms and self-discipline rules, they shall also report to the relevant self-discipline organizations.

(4) Relevant regulations of the compliance department and compliance management personnel of the securities company.

1. Establishment and staffing of compliance department

The compliance department shall be responsible to the person in charge of compliance, and perform compliance management duties according to the company regulations and the arrangement of the person in charge of compliance. The compliance department shall not undertake other duties that conflict with compliance management (securities companies shall distinguish the compliance department from the departments that undertake audit, risk control, internal audit and legal duties).

The number of compliance managers in the compliance department with more than 3 years' working experience in securities, finance, law, accounting, information technology and other related fields shall be no less than 65,438+0.5% of the company headquarters, and no less than 5.

2. Staffing of compliance management personnel in business departments and branches

The business department and branches of a securities company shall be equipped with compliance management personnel with more than 3 years of working experience in securities, finance, law, accounting, information technology and other related fields, and have professional knowledge and skills suitable for performing compliance management duties. Compliance management personnel may concurrently hold positions that do not conflict with compliance management responsibilities.

(five) the principle of independence of the person in charge of compliance and the compliance management personnel of the securities company

The first is to ensure the independence of the assessment, appointment and removal of compliance officers.

The second is to protect the right to know of the compliance person.

The third is to ensure the authority of the compliance officer.

The fourth is to strengthen the compliance manager's right to assess compliance managers.

Fifth, it is clear that the person in charge of compliance will assess the compliance management of the relevant entities of the company.

The sixth is to ensure the remuneration of compliance officers and other compliance management personnel.

Seventh, the external support of China Securities Regulatory Commission and self-regulatory organizations has been clarified.