中银证券：筑牢合规文化根基 赋能稳健发展

Core Viewpoint - Compliance management is essential for the stable and sustainable operation of securities companies, and 中银证券 is committed to enhancing its compliance culture and management practices to ensure robust business growth [1][3]. Group 1: Compliance Management Framework - 中银证券 has established a three-tier compliance management framework that includes headquarters coordination, first-level institution supervision, and second-level branch execution to clarify responsibilities and ensure compliance aligns with business expansion [1]. - The company has implemented a comprehensive mechanism for preventing employee misconduct, which includes institutional constraints, behavior monitoring, and accountability measures [1]. Group 2: Digital Transformation in Compliance - The company is leveraging technology to enhance compliance management efficiency, focusing on building platforms for monitoring employee misconduct and abnormal trading activities using big data and artificial intelligence [2]. - 中银证券 aims to achieve intelligent screening of abnormal behaviors, real-time alerts, and full-process monitoring to address traditional challenges in compliance monitoring [2]. Group 3: Training and Awareness - A multi-dimensional training system has been established to promote compliance awareness among employees, including regular compliance communications, targeted training sessions, and case studies to reinforce compliance culture [2]. - The company organizes regular educational meetings to analyze typical cases of misconduct, allowing employees to learn from real-life examples [2]. Group 4: Commitment to Compliance Culture - 中银证券 is dedicated to continuously improving its risk compliance management and integrating compliance deeply with business operations to support high-quality development [3].