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联合证券有限责任公司:鉴于你公司在归并原企业集团财务公司下属证券营业部的过程中,存在管理不规范的问题,现对你公司提出以下要求:一、你公司应尽快完善内部控制制度建设,理顺证券营业部的管理体制,按照《公司法》的要求明确公司与股东之间的权责关系,稳健经营,切实防范和化解经营风险。二、你公司应按照中国人民银行银复[1997]338号文件的要求,认真与华诚财务公司协商落实其4家证券营业部的归并问题,并将有关结果于今年3月底前报告我会。
United Securities Co., Ltd.: In view of your company in the merger of the original business group financial company under the securities business department, there are irregularities in management, the company now put forward the following requirements: First, your company should improve the internal control system as soon as possible , Straighten out the securities business department management system, in accordance with the requirements of the “Company Law” to clarify the rights and responsibilities between the company and shareholders, steady operation, and effectively prevent and resolve business risks. Second, your company shall conscientiously negotiate with Huacheng Finance Company to implement the merger of its 4 securities business departments in accordance with the requirements of Yin Fu [1997] No. 338 document of the People’s Bank of China and report the result to the end of March this year .