Promulgated: November 30 2006
Effective: December 1 2006
Applicability: The term "senior management personnel of securities companies" (Senior Management Personnel) refers to the general manager, deputy general manager(s), person in charge of finance, person in charge of legal compliance, secretary to the board of directors, persons in charge of domestic (sub-)branches and persons who actually perform the above-mentioned duties in a securities company.
China Securities Regulatory Commission, Measures on Regulation of the Qualifications of Directors, Supervisors and Senior Management Personnel of Securities Companies
中国证券监督管理委员会证券公司董事、监事和高级管理人员任职资格监管办法
Promulgated: November 30 2006Effective: December 1 2006Applicability: The term "senior management personnel of securities companies" (Senior Management…
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