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2017-11-22 品格翻译继续为中国证监会提供高级英语翻译(Security Industry Translation),翻译方向:中译英。翻译内容:《证券行业管理规范》。

2018-07-03 10:16:20 2

译文摘录(保密内容以XXX代替):

 

第十六条 证券公司应当保障首席风险官能够充分行使履行职责所必须的知情权。首席风险官有权参加或者列席与其履行职责相关的会议,调阅相关文件资料,获取必要信息。证券公司应当保障首席风险官的独立性。公司股东、董事不得违反规定的程序,直接向首席风险官下达指令或者干涉其工作。

Article 16 The securities company shall safeguard the right to know necessary for the chief risk officer (CRO) to be able to fully perform his/her duties. The CRO is entitled to participate in or sit in on meetings related to his/her performance of duties, have access to relevant documents and materials, and obtain necessary information. The securities company shall ensure the independence of the CRO. The shareholders and directors of the company shall not violate stipulated procedures, give direct instructions to the CRO or interfere with his/her work.

第十七条 证券公司应当配备充足的专业人员从事风险管理工作,并提供相应的工作支持和保障。风险管理人员应当熟悉证券业务并具备相应的风险管理技能。

证券公司风险管理部门具备3年以上的证券、金融、会计、信息技术等有关领域工作经历的人员占公司总部员工比例应不低于2%。公司可在此基础以上结合自身实际情况制定相应标准。风险管理部门人员工作称职的,其薪酬收入总额应当不低于公司总部业务及业务管理部门同职级人员的平均水平。

证券公司承担管理职能的业务部门应当配备专职风险管理人员,风险管理人员不得兼任与风险管理职责相冲突的职务。

Article 17 The securities company shall arrange sufficient professionals to engage in risk management, and provide corresponding working support and guarantee. The risk management professionals shall be familiar with the securities business and be equipped with relevant risk management skills.

In the risk management division of the securities company, no less than 2% of the employees of the corporate headquarters shall be personnel with more than 3 years of working experience in securities, finance, accounting, information technology and other relevant fields. Based on this, the company may formulate relevant standards in light of its real conditions. Personnel of the risk management division working competently shall be provided with a total remuneration which is no less than the average figure of those colleagues under the same job grade in the business and business management divisions of the corporate headquarters.

The business division of the securities company assuming the management function shall allocate full-time risk management staff, who shall not hold posts conflicting with the risk management responsibilities concurrently.

第十八条 证券公司应当将子公司的风险管理纳入统一体系,对其风险管理工作实行垂直管理,要求并确保子公司在整体风险偏好和风险管理制度框架下,建立自身的风险管理组织架构、制度流程、信息技术系统和风控指标体系,保障全面风险管理的一致性和有效性。

Article 18 The securities company shall incorporate the risk management of its subsidiaries into an integrated system, practice vertical management on their risk management work, cause and ensure them to put in place their respective risk management organizational structures, systems and procedures, information technology systems and risk control indicator systems under the framework of the overall risk appetite and risk management system, thereby safeguarding the consistency and effectiveness of the all-round risk management.