1, actively understand, master and abide by relevant laws, regulations and guidelines;

2. Actively participate in compliance training and compliance publicity activities arranged by the company;

3. Sign and abide by relevant compliance commitments according to the requirements of the company;

4. Pay full attention to the legal compliance of practice in the process of practice;

5. Proactively identify and prevent compliance risks in the process of business development;

6. In case of any violation of laws and regulations or potential compliance risks, it shall be reported in a timely and proactive manner according to the company's regulations;

7. When compliance risks occur, actively cooperate with the company's investigation, accept the company's accountability, and implement the rectification requirements.

How does the main person in charge of the operation and management of securities companies fulfill the responsibility of compliance management?

The principal responsible persons, other senior managers, responsible persons of subordinate units and other staff members of a securities company should fully understand and master the laws, regulations and guidelines related to their business management and practice, fully identify the relevant compliance risks in the process of business decision-making, business management and practice, and take the initiative to prevent, respond and report.

Supervise all subordinate units of the company to conduct self-inspection on compliance risk matters or cooperate with the company's investigation, conduct compliance accountability in strict accordance with the company's regulations, and implement rectification measures. Supervise subordinate units in charge to carry out self-inspection or cooperate with the company to investigate compliance risks, conduct compliance accountability in strict accordance with company regulations, and implement rectification measures.

The person in charge of the subordinate unit of a securities company is responsible for implementing the compliance management requirements of the unit, being responsible for the compliance operation of the unit, and performing the following compliance management duties. When finding compliance risk matters related to the business of the unit, report in time according to the company system, put forward rectification measures, and supervise the implementation of rectification.