May 31, 2010
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Notice of the China Securities Regulatory Commission on Requesting Public Comments on the Guidelines for the Internal Controls of the Investment Banking Business of Securities Companies (Consultation Paper) [Effective]
中国证监会关于就《证券公司投资银行类业务内部控制指引(征求意见稿)》公开征求意见的通知 [现行有效]
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Notice of the China Securities Regulatory Commission on Requesting Public Comments on the Guidelines for the Internal Controls of the Investment Banking Business of Securities Companies (Consultation Paper)  

中国证监会关于就《证券公司投资银行类业务内部控制指引(征求意见稿)》公开征求意见的通知

To implement the general train of thought of legal, comprehensive and strict regulation, urge securities companies to enhance their self-awareness and improve their self-restraint mechanisms, raise their levels of internal control of investment banking business, and prevent and resolve investment banking risks, this Commission has drafted the Guidelines for the Internal Controls of the Investment Banking Business of Securities Companies (Consultation Paper), andhereby requests public comments thereon. Please return the relevant opinions and recommendations to the Department of Fund and Intermediary Supervision of the China Securities Regulatory Commission in paper or through e-mail prior to September 25, 2017. 为落实依法、全面、从严的总体监管思路,督促证券公司强化主体意识、完善自我约束机制,提升投行类业务内部控制水平,防范和化解投行类业务风险,我会起草了《证券公司投资银行类业务内部控制指引(征求意见稿)》,现向社会公开征求意见。请将有关意见和建议以纸质或者电子邮件形式于2017年9月25日前反馈至中国证监会证券基金机构监管部。
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