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| Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
| (No. 22 [2018]) | | （〔2018〕22号） |
| The Opinions on Strengthening the Prevention and Control of Professional Integrity Risk of Third Parties Retained by Securities Companies in the Investment Banking Business are hereby issued, and shall come into force on the date of issuance. | | 现公布《关于加强证券公司在投资银行类业务中聘请第三方等廉洁从业风险防控的意见》，自公布之日起施行。 |
| China Securities Regulatory Commission | | 中国证监会 |
| June 27, 2018 | | 2018年6月27日 |
| Opinions on Strengthening the Prevention and Control of Professional Integrity Risk of Third Parties Retained by Securities Companies in the Investment Banking Business | | 关于加强证券公司在投资银行类业务中聘请第三方等廉洁从业风险防控的意见 |
| For the purposes of implementing the requirements of the CPC Central Committee and the State Council for the construction of clean government, purifying the ecological environment of the capital market, and maintaining the stable and sound development of the capital market, the following opinions on further regulating the paid employment of various kinds of third-party institutions and individuals (hereinafter referred to as “third parties”) and other relevant acts of securities companies in the investment banking business are hereby offered: | | 为贯彻落实党中央、国务院廉政建设要求，净化资本市场生态环境，维护资本市场稳定健康发展，现就进一步规范证券公司在投资银行类业务中有偿聘请各类第三方机构和个人（以下简称第三方）等相关行为提出以下意见： |
| I. Securities companies shall strictly abide by the laws and regulations of the state and all rules formulated by the CSRC, effectively enhance the awareness of preventing professional integrity risk and the sense of responsibility, and prohibit such acts as tunneling and commercial bribery conducted in various forms. | | 一、证券公司应当严格遵守国家法律法规和中国证监会制定的各项规章，切实增强廉洁从业风险防范意识和责任意识，禁止通过各种形式进行利益输送、商业贿赂等行为。 |
| II. A securities company shall scrupulously perform the obligations of independent performance of functions and due diligence, reasonably use third party services in accordance with the provisions of laws and regulations and objective needs, and shall not outsource statutory functions. The liability that shall be assumed by the securities company in accordance with the law shall not be reduced or exempted for the employment of a third party. | | 二、证券公司应恪守独立履责、勤勉尽责义务，根据法规规定和客观需要合理使用第三方服务，不得将法定职责予以外包。证券公司依法应当承担的责任不因聘请第三方而减轻或免除。 |
| III. A securities company shall establish and improve internal control mechanisms, comprehensively improve the level of regulatory compliance and risk control, formulate rules for regulating the employment of third parties, specify the qualification conditions and selection procedures for third parties, and at the same time, strictly implement the flow such as background investigation, contract examination, and expense approval, strengthen the management and control of the paid employment of various kinds of third parties in the investment banking business, and guarantee that the relevant employment conduct complies with laws and regulations. | | 三、证券公司应当建立健全内控机制，全面提升合规风控水平，制定规范聘用第三方的制度，明确第三方应有的资质条件及遴选流程，同时严格履行背景调查、合同审查、费用审批等流程，强化对在投资银行类业务中有偿聘请各类第三方行为的管控力度，确保相关聘请行为合法合规。 |
| ．．．．．． | | ．．．．．． |
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