Compliance management of fund managers

1. Overview of compliance management

1. The meaning of compliance management

2. The significance of compliance management

3. The goal of compliance management

4. Basic principles of compliance management

        1. independence

        2. Objectivity

        3. Fairness

        4. speciality

        5. Coordination

2. Establishment of compliance management organization

2.1. The establishment and responsibilities of the compliance management department

2.2. Compliance responsibilities of the board of directors

2.3. Compliance responsibilities of the board of supervisors

2.4. Compliance responsibilities of the chief inspector

2.5. Management's compliance responsibilities

2.6. Compliance responsibilities of business units

3. The main content of compliance management

3.1. Overview of compliance management activities

3.2. Compliance culture

3.3. Compliance policy

        1. Formulation of compliance policies

        2. Implementation of compliance policies

3.4. Compliance audit

3.4.1. Develop a compliance review mechanism

3.4.2. Compliance audit investigation

3.4.3. Compliance audit evaluation

3.5. Compliance check

3.6. Compliance training

3.7. Compliance complaint handling

4. Compliance risk

4.1. Compliance risks and their types

4.2. Investment compliance risk

4.3. Sales compliance risk

4.4. Information disclosure compliance risk

4.5. Anti money laundering compliance risk