Xin Lang Cai Jing·2026-01-21 08:08Core Viewpoint - The board of directors of Zhongyuan Securities has approved a new version of the "Work Regulations of the Risk Control Committee," aimed at enhancing the company's governance structure and the effectiveness of its comprehensive risk management system [1] Summary by Relevant Sections Governance Structure - The regulations define the Risk Control Committee as a specialized working body under the board of directors, responsible for overseeing the company's overall risk management [1] - The committee is composed of no fewer than three directors, with a term aligned with that of the board of directors [1] Responsibilities and Authority - The main responsibilities of the committee include reviewing the overall objectives, basic policies, and institutional setup of compliance and risk management [1] - The committee evaluates compliance management, comprehensive risk management basic systems, risk appetite, and major risk limits that require board approval [1] - It also provides opinions on risk solutions for major decisions and reviews effectiveness assessment reports, compliance reports, and risk assessment reports [1] Operational Procedures - The committee is tasked with supervising the training of directors and senior management regarding compliance and addressing significant compliance issues raised by the compliance director [1] - The regulations mandate that the committee must hold at least one meeting annually, with resolutions requiring approval from more than half of the committee members [1] - The company's risk management headquarters will serve as the operational body for the committee [1] Impact on Risk Management - The implementation of these regulations signifies Zhongyuan Securities' commitment to strengthening the board's supervisory role in risk management, which is expected to enhance the company's overall risk resilience and compliance operating level [1]