Promulgated: October 9 2004
Effective: November 15 2004
Applicability: For the purposes of the Procedures, "senior management personnel of securities companies" refers to persons assuming the leadership duties in decision making, operation and administration of the company, namely chairman and vice chairman of the board, chairman of the supervisory board, general manager, deputy general manager, finance officer of the company, compliance supervisor of the company and persons actually performing the above duties (Article 2).
China Securities Regulatory Commission, Administration of Senior Management Personnel of Securities Companies Procedures
中国证券监督管理委员会证券公司高级管理人员管理办法
Promulgated: October 9 2004Effective: November 15 2004Applicability: For the purposes of the Procedures, "senior management personnel of securities companies"…
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