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Article NO. Content

Title：

Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets  CH

Amended Date： 2024.04.22 (Articles 8, 14, 39 amended,English version coming soon)
Current English version amended on 2023.08.15 
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 11     A service enterprise shall carry out internal audits to assist the board of directors and management in inspecting and reviewing deficiencies in the internal control system as well as measuring effectiveness and efficiency of operations, and shall make timely recommendations for improvements to ensure the sustained operating effectiveness of the system and to provide a basis for review and correction.