关于加强证券公司营业部内部控制若干措施的意见 Opinions of the China Securities Regulatory Commission about Tightening Sever

ecurities business departments to the institution dispatched by the CSRC where the securities business department is located， shall submit the audit reports on all business departments to the head office of the securities company for archival purposes， and shall， by the end of April of each year， submit the overall audit information about the securities business departments in the previous year and the main issues found by it to the institution dispatched by the CSRC where the securities company is located.

　　4. The securities company shall combine the audit results with personnel evaluations to establish a corresponding punishment system， and shall severely punish various illegal acts in violation of the laws and regulations.

　　V. Other requirements

　　1. A securities company shall establish a fast response mechanism to the serious emergencies arising in a securities business department. In the case of a serious accident， if a securities business department is unable to do normal transactions because of technological failure， natural disaster， difficulties to honor the fund or any other reasons， it shall immediately report to the head office of securities company and the institution dispatched by the CSRC where the securities business department is located and shall report to the relevant department of the local government. After the accident is completely handled， a report on the handling of the accident shall be submitted to the aforesaid departments.

　　2. The head office of a securities company shall establish a special department to pay regular return visits to the important clients.

　　3. A securities business department shall hang its Securities Operating Institution Operation License and Business License in an eye-catching place. It shall clearly express in the risk disclosure statement and the contract texts given to the investors that it has no right to sign any business contract with an investor beyond the operation scope of the Securities Operating Institution Operation License， and the investor shall sign its name for confirmation.

　　4. A securi

ties business department shall put the complaint telephone number， fax， e-mail of the head office of the securities company and other relevant information in an eye-catching place of its business office so that the complaints of the investors can be reflected and handled in time.

　　5. A securities company shall set down specific securities business department internal control system according to its own actual circumstances， which shall be submitted to the institutions dispatched by the CSRC where the securities company is registered and where the securities business department is located.

　　6. Where the securities operating institutions fail to complete the business separation， they shall carry out by referring to the requirements of the present Opinions.

　　7. With regard to the requirements for the internal control of the securities business departments subordinated to a securities company with an overall centralized transaction system， the CSRC shall formulate separately.

　　Before February 29th， 2004， each securities company shall， in light of the present Opinions， make a post-shifting plan and submit the plan to the institution dispatched by the CSRC where the registration place is located. In case the institution dispatched by the CSRC where the registration place is located raises no objection upon examination and approves the plan， the securities company shall， before March 31st， 2004， submit its post-shifting system and plan to the supervision department of the CSRC for archival purposes， and shall send a copy to the institution dispatched by the CSRC where each of its securities business departments is located. The Securities companies shall earnestly carry out the post-shifting system and plan

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