近期,证监会就起草的《证券基金经营机构合规管理办法(征求意见稿)》(以下简称《办法》)向社会公开征求意见。《办法》以《证券公司合规管理试行规定》为蓝本,吸收合并基金行业合规管理规定的有效内容,整合形成证券、基金行业统一的合规管理规则,修订内容包括强化合规管理组织体系,要求证券基金经营机构将 Recently, the Securities and Futures Commission drafted the “Measures for the Compliance Management of Securities Fund Operating Institutions (Draft for Comment)” (hereinafter referred to as the “Measures”) to solicit opinions from the public. The Measures take the Provisional Regulations on the Compliance Management of Securities Companies as the base and absorbs the effective contents of the compliance management provisions of the combined fund industry to form a unified compliance management rules for the securities and fund industries. The amendments include strengthening the compliance management organization system , Requiring securities funds operating agencies will