SHANXI SECURITIES(SZ:002500) Zhong Guo Jing Ji Wang·2025-10-22 06:09Core Viewpoint - The company emphasizes the integration of compliance culture into daily operations through innovative learning mechanisms and a robust support system, aiming to enhance its cultural strength and drive high-quality development in the financial sector [2][3][5]. Group 1: Compliance Culture Mechanisms - The company has established a unique learning mechanism called "weekly learning, bi-weekly discussions, monthly listening, and quarterly assessments" to embed compliance culture into daily practices [3][4]. - A "five-in-one" compliance culture dissemination matrix has been created, achieving over 100,000 annual readings, making compliance concepts accessible and relatable [4]. - The company has developed a "Ten Thousand Whys" compliance knowledge base, resolving over 5,000 inquiries, serving as a portable "compliance think tank" for employees [8]. Group 2: Cultural Integration and Innovation - The company is committed to merging traditional culture with modern finance, leveraging digital empowerment to enhance cultural transmission and support high-quality development [2][5]. - A multi-dimensional approach has been adopted to create a comprehensive compliance culture advocacy system, breaking down departmental barriers and fostering a collaborative learning environment [3][5]. Group 3: Institutional Support for Compliance - The company recognizes that a self-disciplined compliance culture requires a solid institutional foundation, establishing a three-tier compliance management structure to ensure effective oversight and implementation [5][6]. - The board has set up a risk management committee with veto power over violations, ensuring strategic alignment and compliance adherence [5]. Group 4: Standardization and Process Improvement - The company promotes a standardized, professional, and detailed approach to compliance management, embedding compliance points into key business processes [6]. - The implementation of a "1+N" policy system aims to clarify responsibilities and ensure comprehensive compliance management [6]. Group 5: Recognition and Role Models - The company actively cultivates "compliance role models," with over 80% of award winners in the provincial industry skills competition, showcasing the effectiveness of its compliance culture [7]. - Employees are encouraged to share their compliance stories, illustrating the impact of compliance culture on decision-making [7]. Group 6: Future Outlook and Digital Transformation - The company plans to continue leveraging digital transformation to enhance compliance management, aiming for a shift from mere awareness of compliance to active practice among all employees [8].