证券公司需采取哪些措施才能做到有效合规

法律法规及规章制度的建立健全仅仅是合规管理工作开展的前提和基础,证券公司能否有效合规还必须通过努力,提升执行力。首先,提升证券公司高管对合规管理的全面认识,加强管理层的驱动作用。其次,给予合规管理工作及合规人员的正确定位。再次,加强对各部门的合规管理执行情况的考核力度。最后,不断提升合规管理工作人员的专业素质。

Measures that Securities Companies Should Take to Achieve Effective Compliance

The establishment and improvement of laws and regulations is only the premise and basis for carrying out the compliance management.In order to achieve effective compliance,securities companies should enhance the execution.First of all,improve the comprehensive understanding of executives of securities companies for compliance management,and strengthen the role of management-driven.Second,give the right position for the compliance management and compliance officers.Third,strengthen the assessment efforts of ...