- 中国商业贸易法律法规中英数据库(一) A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
中国商业贸易法律法规中英数据库(一)
- 第三节 主要会计数据和业务数据摘要 Section 3 Summary of Major Accounting Data and Business Data
- 第三节 证券自营业务 Section 3?? Securities Self Service Business
- 第四节 股本（资本）变动及股东情况 Section 4 Changes in Equity (Capital) and Information about Shareholders
- 第四节 实收资本变动及股东情况 Section 4 Changes in Paid-in Capital and Information about Shareholders
- 第四节 证券资产管理业务 Section 4 Securities Assets Management Business
- 第五节 董事、监事和高级管理人员 Section 5 Directors, Supervisors and Senior Managers
- 第五节 管理层报告 Section 5 Reports from the Management Level
- 第五节 融资融券业务 Section 5 Securities Lending and Borrowing Business
- 第六节 其他重要事项 Section 6 Other Important Issues
- 第六节 管理层报告 Section 6 Reports from the Management Level
- 第七节其他重要事项 Section 7 Other Important Issues
- 第八节 财务报告 Section 8 Financial Statements
- 证券公司应当对合规总监和合规管理人员的履职情况进行考核，并根据考核结果决定其薪酬待遇。合规总监和合规管理人员工作称职的，其薪酬待遇应当不低于公司同级别管理人员的平均水平。 Securites companies shall assess performance of role and responsibility of compliance director and compliance management personnel, and decide their salary and benefit. If compliance director and management performed their roles and responsibilities well, their salary and benefit shalln’t be lower than average level of company management at the same level.
- 证券公司应当明确合规部门与其他内部控制部门之间的职责分工，建立各内部控制部门协调互动的工作机制。 Securites companies shall clarify different roles and responsibilities between compliance department and other internal control department, and establish coordination and interaction working mechanism among all internal control departments.
- 证券公司解聘合规总监，应当有正当理由，并自解聘之日起3个工作日内，将解聘的事实和理由书面报告公司住所地证监局。 Securites companies shall have appropriate reason for dismissing compliance director and submit written report of fact and reason of the dismission, within 3 working days from the dismissing day, to local securities regulatory bureau.
- 证券公司应当根据本公司的经营范围、业务规模、组织结构等情况，设立合规部门或指定有关部门（以下统称“合规部门”）协助合规总监工作，并为合规部门配备足够的、具备与履行合规管理职责相适应的专业知识和技能的合规管理人员。 Securites companies shall set up compliance department or appointed relevant department (hereinafter referred to as “compliance department”) to assist work of the compliance director based on business scope, business scale, organization structure and other conditions, and arrange sufficient number of compliance managing staff, who have professional knowledge and expertise to perform role and responsibility of compliance management, in the compliance department.
- 证券公司为证券资产管理客户开立的证券账户，应当自开户之日起3个交易日内报证券交易所备案。 Securities account opened by the securities firm for securities assets management customer should be submitted to stock exchange for filing within 3 trading days.
- 证券类资产转让方案应当报国务院证券监督管理机构批准。 Securities assets transferring proposal should be submitted to securities regulatory authority under the State Council for approval.
- 证券经纪人只能接受一家证券公司的委托，进行客户招揽、客户服务等活动。 Securities brokers can only accept entrustment of one securities firm for customer attracting and service activities.
- 证券经纪人不得为客户办理证券认购、交易等事项。 Securities brokers shall not handle securities subscription or trading for customers.
- 证券经纪人应当在证券公司的授权范围内从事业务，并应当向客户出示证券经纪人证书。 Securities brokers should work within authorized scope of the securities firm and show securities broker certificates to customer.
- 前款所称证券类资产，是指证券公司为维持证券经纪业务正常进行所必需的计算机信息管理系统、交易系统、通信网络系统、交易席位等资产。 Securities mentioned in the previous term refers to computer information management system, transaction system, telecommunication system, transaction seat and other assets necessary to maintain normal securities brokerage business of the securities firm.
- 国务院证券监督管理机构对证券公司的行政重组进行协调和指导。 Securities regulatory authority under the State Council should coordinate and supervise administrative restructuring of the securities firm.
- 证券公司的证券自营账户，应当自开户之日起3个交易日内报证券交易所备案。 Self-run securities accounts of the securities firm should be submitted to the stock exchange for filing within 3 trading days of account opening.
- 商配发[2007]第359号 Shang Pei Fa [2007] No. 359
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