Core Points - The article outlines the compliance management system of Dalian Huari Heavy Industry Group Co., Ltd, emphasizing the importance of legal compliance and risk prevention for sustainable development [1][2] - The compliance management framework includes principles, responsibilities, organizational structure, risk assessment, training, and supervision [1][3] Compliance Management Principles - The compliance management work is guided by the principles of integrating party leadership, covering all business areas, and ensuring accountability for compliance responsibilities [4][5] - The management system aims to enhance compliance awareness and integrate compliance into internal control processes [4][6] Organizational Structure - The compliance management system is structured with a clear division of responsibilities among various departments, including the risk control audit department and compliance officers [3][4] - Each business unit is required to have dedicated compliance personnel based on their operational scale and compliance risk level [4][5] Compliance Obligations Identification and Updates - Business units must regularly identify and update compliance obligations relevant to their operations, ensuring that these obligations are embedded in their management processes [6][7] - A compliance obligation list is created annually to reflect the current compliance requirements [6][7] Compliance Risk Assessment and Management - Units are required to conduct compliance risk assessments regularly, especially when there are changes in business activities or external conditions [8][9] - The risk assessment categorizes compliance risks into high, medium, and low levels, with corresponding response measures [8][9] Compliance Risk Review - The compliance risk review process is integrated into the decision-making for major projects and significant operational changes, ensuring that compliance is considered at all levels [11][12] - External legal opinions are sought for major decisions to ensure compliance with applicable laws and regulations [11][12] Compliance Culture and Training - The company promotes a culture of compliance through training programs and awareness campaigns, ensuring that all employees understand their compliance responsibilities [13][14] - Compliance training is mandatory for new employees and key personnel [13][14] Overseas Compliance - For overseas operations, the company designates compliance management personnel to ensure adherence to local regulations and compliance obligations [13][14] - Local legal services may be engaged to assist in identifying compliance requirements in foreign jurisdictions [13][14] Information Technology in Compliance Management - The company emphasizes the use of information technology to enhance compliance management processes, including risk monitoring and compliance audits [13][14] - Information systems are developed to integrate compliance requirements into daily operations [13][14] Evaluation and Accountability - The compliance management system includes mechanisms for evaluating compliance performance and holding individuals accountable for non-compliance [15][16] - Regular audits and assessments are conducted to ensure adherence to compliance obligations [15][16]

江南时报讯 近年来，金融市场环境复杂多变，金融监管日益严格，市场竞争愈发激烈，南通农商 银行以"维秩序 优服务 强合规"专项活动为契机，将风险合规管理与业务发展相结合，不断强化自身内 控体系，提升风险防控能力，把牢风险底线，助推各项业务高质量稳健发展。 坚持问题导向，提升整改成效 该行积极从问题中汲取教训，聚焦监管重点领域，如公司治理、贷款"三查"与审批、资金业务开展、员 工行为管理等环节和关键部位，推动屡查屡犯顽疾根本性治理，着力加强对违规违法行为高发频发领域 的风险排查与管理。对于问题整改问责，该行坚持更严标准和更高要求，条线管理部门建立整改问题台 账，认真制定并落实整改工作方案，督查部门开展整改验证，加大问责力度，做到错责相当，倒逼责任 落实到位，逐步打造"揭示问题—落实整改—警示问责—检验成效—完善管理"的全闭环治理机制。 合规之路任重道远，南通农商银行将以更加坚定的决心、更加严谨的态度、更加有力的措施，不断完善 合规管理体系，提升全员合规意识，将合规文化深深融入每一个业务环节和每一位员工的心中，助推实 现高质量发展，助力建设"强富美高"新南通。 倪美丹 紧跟政策导向，审慎合规经营 南通农商银行紧跟监 ...

Core Viewpoint - The recent appointment of chief compliance officers in various insurance companies indicates a significant shift in the industry, likely driven by the upcoming implementation of the "Compliance Management Measures for Financial Institutions" on March 1, 2025 [2][5][6] Group 1: Appointments of Chief Compliance Officers - Hu Yuxiao has been approved as the Chief Compliance Officer of Fosun Bode Insurance, marking another company to complete this leadership transition [2][3] - Huang Jun has been appointed as the Chief Compliance Officer of Zhongying Life, following the recent trend of compliance officer appointments in the insurance sector [4] - Xu Jing has taken on the role of Chief Compliance Officer at China Ping An, with a background in legal compliance and risk management [4] - Zhang Haibo has been appointed as the Chief Compliance Officer of Renbao Pension, having held various leadership roles within the company since 2017 [5] Group 2: Regulatory Context - The "Compliance Management Measures for Financial Institutions" requires financial institutions to establish chief compliance officer positions at their headquarters and, ideally, at provincial or primary branches [5][6] - The insurance industry has faced increased regulatory scrutiny, with a total of 2,292 fines issued by the National Financial Supervision Administration in 2024, amounting to approximately 337 million yuan [5] - As of June 20, 2025, insurance companies have received 601 fines totaling over 10 million yuan, with common violations including false documentation and operational misconduct [6] Group 3: Industry Implications - The establishment of chief compliance officer roles is seen as a critical step for insurance companies to enhance their compliance management and risk prevention capabilities [6] - The recent trend of appointing compliance officers reflects the industry's response to heightened regulatory demands and the need for robust compliance frameworks [5][6]

Meeting Details - The sixth board meeting of Guizhou Bailing Pharmaceutical Group Co., Ltd. was convened by Chairman Jiang Wei on June 18, 2025 [2][3] - The meeting was held at the company's conference room with all 9 board members present, including independent directors participating via communication [3][4] Resolutions Passed - The board approved the proposal to apply for the removal of other risk warnings, with a unanimous vote of 9 in favor [6][9] - The board also approved a proposal for the company to provide a guarantee for its subsidiary, Anshun Dajiankang Pharmaceutical Industry Operation Co., Ltd., for a loan of 148 million yuan, with the company guaranteeing 81.4 million yuan [7][9] - A proposal to convene the second extraordinary general meeting of shareholders in 2025 was also approved unanimously [10][11] Guarantee Details - The subsidiary intends to apply for a loan of 148 million yuan from Guizhou Bank for a term of 2 years, with the company providing a guarantee based on its 55% ownership [15][21] - The total amount of guarantees provided by the company and its subsidiaries will reach 213.4 million yuan, accounting for 6.71% of the company's latest audited net assets [23] Risk Warning Removal - The company was previously under risk warning due to a negative internal control audit report for 2023, which has since been rectified [25][26] - The company has implemented various measures to improve internal controls and has received a qualified audit report for 2024, indicating compliance with the requirements for removing the risk warning [28][29] Upcoming Shareholder Meeting - The second extraordinary general meeting of shareholders is scheduled for July 4, 2025, with provisions for both on-site and online voting [31][32] - Shareholders must register by June 27, 2025, to participate in the meeting [35]

哈药集团人民同泰医药股份有限公司 2024 年年度股东大会会议资料 哈药集团人民同泰医药股份有限公司 会议资料 （股票代码：600829） -1- 哈药集团人民同泰医药股份有限公司 2024 年年度股东大会会议资料 目 录 -2- 哈药集团人民同泰医药股份有限公司 2024 年年度股东大会会议资料 为确保股东大会的正常秩序和议事效率，维护投资者合法权益， 根据《中华人民共和国公司法》《上市公司股东会规则》等法律法规 及《哈药集团人民同泰医药股份有限公司章程》的有关规定，特制定 如下会议须知，请出席股东大会的全体人员遵照执行。 一、为保证股东大会的严肃性和正常秩序，切实维护与会股东（或 股东授权代表）的合法权益，本次股东大会设秘书处，具体负责股东 大会的程序安排和相关会务工作。 二、除出席会议的股东或股东授权代表、公司董事、监事、高级 管理人员、公司聘请的见证律师、董事会邀请的人员及相关工作人员 外，公司有权依法拒绝其他不相关人员进入会场。 三、参会股东及股东授权代表须携带身份证明（股东身份证及/ 或公司营业执照，（法人）授权书等）于2025年6月25日办理会议登 记手续。 四、会议期间，请遵守会场秩序，谢绝个 ...

招商局南京油运股份有限公司 章 程 第 1页 第 2页 目 录 第 3页 第一章 总则 第一条 为维护公司、股东、职工和债权人的合法权益，规范公 司的组织和行为，根据《中华人民共和国公司法》（以下简称《公司 法》）、《中华人民共和国证券法》（以下简称《证券法》）、《中 国共产党章程》（以下简称《党章》）和其他有关规定，制定本章程。 第二条 公司系依照《公司法》和其他有关规定成立的股份有 限公司（以下简称公司）。公司经国家体改委体改生1993120 号文 批准，以定向募集方式设立；在南京市市场监督管理局注册登记，取 得营业执照，统一社会信用代码 913201921349556628。 公司按照《国务院关于原有有限责任公司和股份有限公司依照 〈中华人民共和国公司法〉进行规范的通知》（国发199517 号）、 《关于做好原有股份有限公司规范工作的通知》（体改生1995117 号）的有关规定，对照《公司法》进行了规范，并依法履行了重新登 记手续。 第三条 公司于 1997 年 5 月 15 日经中国证券监督管理委员会 （以下简称中国证监会）批准，首次向社会公众发行人民币普通股 为 3150 万股，于 1997 年 6 ...

Core Viewpoint - The announcement from Luoping Zinc & Electricity reveals significant compliance failures and financial impacts due to administrative penalties for illegal mining activities, which are expected to reduce the company's net profit by approximately 22.84 million yuan in 2025 [2][3]. Financial Impact - The penalties imposed on the three subsidiaries are severe, with a total fine initially set at 77.51 million yuan, later reduced to 22.44 million yuan after hearings and recalculations [2]. - The expected reduction in net profit will directly affect the company's short-term financial performance [3]. Compliance and Management Issues - The illegal mining activities indicate serious deficiencies in the company's compliance management, internal controls, and risk prevention measures [2]. - The company failed to effectively address historical issues and adhere to legal regulations after taking over the mines, leading to ongoing violations [2]. Reputation and Investor Confidence - The incident has negatively impacted the company's reputation and could lead to diminished market confidence and investor trust if not resolved properly [3]. - Potential legal actions and further regulatory penalties pose additional risks to the company's standing [3]. Recommendations for Improvement - The company needs to strengthen internal management and enhance its compliance system to prevent future violations [3]. - A comprehensive review of potential compliance risks and the establishment of robust internal control mechanisms are essential [3]. - Engaging with regulatory authorities to mitigate penalties and expedite corrective actions is crucial for restoring compliant operations [3].

Group 1 - Compliance management is essential for modern enterprises as it serves as a self-diagnostic and defense system to identify and analyze applicable laws and regulations, ensuring adherence and continuous monitoring [2][3] - A robust compliance management system can effectively prevent negative impacts from violations, such as hefty fines and reputational damage, thereby safeguarding long-term interests [2][3] - The importance of compliance management is heightened for Chinese enterprises due to increasing anti-corruption efforts and a complex global regulatory environment [2][8] Group 2 - The compliance management system is a continuous improvement process rather than a one-time task, requiring ongoing monitoring and adjustments to adapt to new risks [4][6] - Effective compliance management typically includes eight core components, such as leadership commitment, risk assessment, operational controls, and training [5][6] - ISO 37301 is a globally recognized standard for compliance management, providing clear requirements for enterprises to enhance their credibility and competitiveness in international markets [7][6] Group 3 - Chinese enterprises must understand the unique political and legal environment to effectively manage compliance, as recent policies have led to stricter regulations and enforcement [8][9] - The enterprise social credit system in China integrates compliance management with market behavior, imposing penalties on non-compliant firms, which can affect both the company and its executives [10][9] - Industry-specific regulations require tailored compliance strategies, as a one-size-fits-all approach may not effectively mitigate regulatory risks [11][9] Group 4 - As Chinese enterprises globalize, they face legal compliance challenges that necessitate adherence to international regulatory frameworks and understanding local laws in target markets [12][15] - Key areas of concern include international tax compliance, data security, anti-bribery measures, intellectual property protection, labor laws, and management of business partners [15][17][18][19][20] - Cultural differences can significantly impact compliance practices, necessitating adjustments in corporate behavior and communication strategies to mitigate legal risks [21][20] Group 5 - A comprehensive and flexible compliance framework is crucial for Chinese enterprises to navigate the evolving regulatory landscape effectively [23][24] - Cultivating a strong compliance culture that starts from leadership and permeates the organization is vital for building trust and credibility in international markets [24][25] - Utilizing technology to enhance compliance management efficiency through automation and real-time monitoring is increasingly important [25][26] Group 6 - Regular risk assessments and audits are essential for identifying and addressing potential compliance issues before they escalate [26][27] - Continuous improvement of the compliance management system is necessary to adapt to changing regulations and emerging risks [27][28] - Future compliance management trends include a shift from passive adherence to compliance culture as a core competitive advantage [32][33] Group 7 - The integration of compliance management with business strategy is becoming increasingly important, as it can drive business development and mitigate risks [34][35] - Chinese enterprises must establish a dynamic compliance management mechanism to respond swiftly to regulatory changes and maintain compliance [33][34] - The evolution of compliance management from a regulatory burden to a strategic asset is essential for sustainable growth in the global market [35]

Core Viewpoint - Recent administrative penalties against two senior IT staff from securities firms highlight significant compliance management failures within the industry, particularly regarding insider trading practices known as "mouse warehouses" [1][2][8]. Group 1: Administrative Penalties - The Anhui Securities Regulatory Bureau imposed a total fine of 4.2628 million yuan on Li Haipeng, a senior manager at CITIC Securities, for insider trading using non-public information [1][3]. - The Jilin Securities Regulatory Bureau fined Shao for similar violations, totaling 1.0757 million yuan, including a fine of 581,800 yuan for insider trading and an additional 300,000 yuan for unauthorized stock trading as a securities professional [1][7]. Group 2: Details of Violations - Li Haipeng accessed non-public information about a private fund's holdings and executed trades through his wife's account, resulting in profits of 2.1314 million yuan from trading 128 stocks with a total transaction amount of 64.838 million yuan [3][5]. - Shao utilized his access to the trading system to conduct "shadow trading," where his account mirrored trades from the proprietary accounts of his firm, leading to profits of 193,900 yuan from 58 stocks [6][7]. Group 3: Regulatory Response and Industry Implications - The frequency of "mouse warehouse" cases has prompted regulators to adopt stricter penalties and enhanced monitoring through big data technologies to prevent insider trading [2][9]. - The China Securities Regulatory Commission reported 59 cases of violations by industry professionals last year, indicating a growing concern over compliance and the need for improved oversight mechanisms [8][9]. Group 4: Recommendations for Improvement - Experts suggest implementing stricter controls, such as physical separation of IT and trading systems, real-time monitoring of unusual activities using AI, and enhancing compliance measures through dual review processes [9][10].

■李文 第一，强化合规管理，从"形式合规"升级到"实质风控"。可以借助科技赋能，填补流程漏洞，提高合规效率。比如在开 户、交易环节，部署AI系统监测异常操作，业务全程留痕，从开户资料审核到后续交易，确保每一步可追溯，提升管控的威慑 力，避免"粗放式"揽客，也从源头保护投资者权益。 经纪业务是券商主营业务之一，具有业务营收占比大、从业人员众多的特点，这使得合规问题更容易暴露出来。现阶段， 合规风控已成为券商核心竞争力的构成要素。近期券商经纪业务频收罚单，暴露出部分券商合规管理流于形式，对从业人员的 培训与监督不到位。券商要以此为戒，注重强化全业务链合规。 第二，优化考核体系，打破业绩与合规的简单绑定。经纪业务迎来增长空间，各券商分支机构的考核任务也随之加重，部 分从业人员为完成业绩指标，拓客心切，把合规看作是能省即省的"成本负担"，进而不惜突破合规底线。从这个角度来看，券 商可以将考核指标拆分细化。具体而言，可适当降低前台业务人员销售指标的权重，同时新增包含客户投诉率、适当性匹配准 确率之类的合规质量评价，引导从业人员重视合规执业。实际上，在2024年10月份，监管部门曾对券商下发通知，要求证券公 司应当切实加 ...