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Article NO. Content

Title：

Directions for Internal Control of Securities Firms Using Modelling in Management Operations  CH

Amended Date： 2016.04.08 
Categories： Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Amended Article Legislative History Chinese
Article 9     The risk management unit shall regularly and irregularly review the reliability of using pricing models. The verification and approval procedures shall include, at the very least, the appropriateness of the method employed, reasonableness of the usage parameters, correctness of the mathematical equations, comprehensiveness of the technical documents, and other related operational rules. The responsible unit shall keep the relevant records and documents for reference.