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合规管理是现代证券公司健康快速发展的重要保障,也是机构监管工作的重要抓手。本文梳理介绍了欧盟关于证券公司合规管理的相关规范,重点介绍了欧盟2012年《关于〈欧盟金融工具市场指令〉下合规部门的若干要求指引(最终报告)》的11条一般性指引及其支撑性指引的内容。借鉴欧盟的规范,结合我国证券公司合规管理的制度和实践现状,提出相应的意见建议。
Compliance management is an important guarantee for the healthy and rapid development of modern securities companies and an important starting point for the supervision of institutions. This article reviews the EU’s regulatory guidelines on compliance with securities companies and highlights 11 general guidelines from the European Union’s 2012 Guidelines on Certain Requirements for Compliance Department under the EU Financial Instruments Market Directive (Final Report) and Its supporting guidelines. Reference to the EU norms, combined with China’s securities companies compliance management system and practice of the status quo, put forward corresponding opinions and suggestions.