May 27, 2022 07:28 PM (GMT+8) · EqualOcean
In order to urge securities companies to continuously strengthen the construction of internal control over investment banking business and improve the practice quality, the CSRC recently issued the guidelines for on-site inspection of internal control over investment banking business of securities companies (hereinafter referred to as the "guidelines") in the system, aiming to further transmit regulatory pressure and clarify regulatory priorities by establishing a regular on-site inspection system, Urge securities companies to attach great importance to the construction and operation effect of the internal control system of investment banks, and give full play to the check and balance role of the internal control mechanism. At the same time, further standardize the selection of inspection objects, clarify the key inspection contents, reaffirm the inspection discipline, and improve the institutionalization and standardization of on-site inspection.