<br /><br/><br /><p><span style="background-color: white"><span style="font-family: 宋体"><span style="font-size: 9pt">封面</span></span></span><br />
<span style="background-color: white"><span style="font-family: 宋体"><span style="font-size: 9pt">内容简介<br />
<span style="background-color: white"><span style="font-size: 9pt">目录</span></span></span><br />
<span style="background-color: white"><span style="color: blue"><span style="font-size: 9pt">第一部分合规管理理论与实务</span></span></span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第一章合规理论</span></span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节合规与合规管理</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节合规风险</span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第二章合规管理体系建设</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节合规管理责任主体</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节合规总监与合规部门设立</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第三节合规管理制度建设</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第四节合规文化建设</span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第三章合规管理职能的履行</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节合规管理的基本职能</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节合规管理的专项职能</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第三节合规管理的考核、问责及有效性评估</span></span><br />
<span style="background-color: white"><span style="color: blue"><span style="font-size: 9pt">第二部分法律法规</span></span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第一章法理基础</span></span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第二章公法基础</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节刑法</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节行政法</span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第三章民商经济法</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节民法</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节商法</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第三节经济法</span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第四章程序法</span></span></span><br />
<span style="background-color: white"><span style="color: blue"><span style="font-size: 9pt">第三部分证券公司管理与业务规则</span></span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第一章证券公司管理规则</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节法人治理</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节人员管理</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第三节风险控制</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第四节内部控制</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第五节财务管理</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第六节其他规则</span></span><br />
<span style="background-color: white"><span style="color: #006600"><span style="font-size: 9pt">第二章证券公司业务规则</span></span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第一节证券经纪</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第二节证券投资咨询</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第三节与证券交易、证券投资活动有关的财务顾问</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第四节证券承销与保荐</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第五节证券自营</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第六节证券资产管理</span></span><br />
<span style="background-color: white"><span style="font-size: 9pt">第七节其他证券业务</span></span></p>
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