Fund industry associations with the inspector general and compliance personnel _ net _ Chinese accounting perspective needed to accountants - CPA | Certified Tax | Accounting titles | Senior Accountant | Accounting practitioners

China Industry association release" Compliance (Hereinafter referred to as the "new regulations on compliance management"), yes Inspectors and compliance departments of the qualifications, functions, number, pay, assessment and accountability mechanisms, etc., since 2017 And the compliance manager is required to perform in 2017 Meet the requirements before. New regulations released two weeks, many fund companies have started the relevant preparatory work, and strive to complete the required work by the end of the normative work. The new regulations of compliance management clearly quantify the qualification requirements of the Inspector General, and the Inspector General is required to do so , The fund work for more than 10 years, and through China (Or engaged in securities, fund work for more than 5 years, and through the legal profession qualification examination; or in the securities regulatory agencies, securities fund industry self-discipline organization for more than 5 years. In contrast to the new regulations, the chief inspectors of most fund companies meet the requirements. But the reporter found that a small number of fund companies chief inspector of the securities fund practitioners did not meet the requirements of the new regulations. already Issued "securities companies and Compliance management approach ", and announced on October 1 will be implemented, the affected fund companies have started the relevant preparatory work. Reporters on Friday in a recruitment website search found that nearly 10 days there are two fund companies to recruit recruitment chief inspector of the recruitment information, Well known base The annual salary range of 1.5 million to 200 million, the job requirements almost consistent with the new regulations and regulations, requiring "undergraduate course, the annual salary of 1.5 million yuan to 200 million yuan, And above, more than 5 years Fund work experience or well-known law firm work to "and" and the SFC and other regulatory agencies have a good Priority ". A senior researcher in the industry told reporters that compliance wind control belongs to the fund company in the background business, a lot of details are not The scope of the fund company is not sure whether the new tactitors to meet the new regulations. Large and medium-sized public inspectors chief qualifications are usually very deep, small sub-new public offering may exist does not meet the requirements of the new regulations. Compliance management new regulations Article 21 requirements, fund management company compliance department with more than 3 years of securities, ,legal, , Information technology and other relevant areas of work experience of the compliance management personnel shall not be less than 1.5% of the number of corporate headquarters, and not less than 2, the compliance department of the compliance management personnel do not include Such as post staff. Fund management company Management and other compliance Management departments with greater difficulty in control, branches should be equipped with full-time compliance management personnel. It is understood that the fund company's general staff is generally not less than 2 people, and do the compliance and wind control of the post split, but the compliance risk control more difficult departments with full-time compliance management staff less The Beijing, a medium-sized public executives told reporters that the new regulations at least for the overall number of compliance wind control requirements are more than the status quo. Another public placement also said that since the regulatory requirements of the minimum number of qualified personnel, indicating that the industry did not meet the requirements of the company. Many fund companies have been in full swing to start the training of wind control personnel recruitment, the reporter found in a recruitment website, There are a number of fund companies to hang out the regulatory wind control recruitment information, the industry's top five fund companies hang out IT Of the recruitment information, perhaps the response to the new regulations require recruitment of information technology in the field of background of the staff. In addition, the new regulations on compliance management also require the remuneration of the Inspector General and the Compliance Officer to assess the annual remuneration of the inspectors The total number of senior executives in the company's rankings shall not be lower than the median, the total amount of qualified personnel shall not be lower than the average level of the same level of personnel. However, the fund company inspectors are executives, the treatment is generally not lower than the requirements of the new regulations, compliance management income is generally higher than the new regulations. For the adjustment of the remuneration, the above-mentioned public executives in charge of the public told reporters that compliance with the remuneration of staff to see whether the original requirements below the requirements, broad based is unlikely.