The compliance department and compliance posts shall be independent from the business department, the financial department and the internal auditing department.

Chapter III Compliance Chief and Compliance Department

(3) situation of the compliance chief and the compliance department

(3) hearing the compliance issues the compliance chief and the compliance department reports and

The compliance department or the compliance posts shall provide compliance support to the business activities done by any other department, branch office or any employee and marketing staff, and assist and direct each department or branch office to set down the post compliance manual for compliance management.

Article 16 An insurance company shall equip the compliance department or the compliance posts with sufficient compliance personnel.

All departments and branch offices shall voluntarily carry out self inspections on compliance as a routine task, report compliance risk information or potential risks to the compliance department or the compliance posts, and support and cooperate with the compliance department or the compliance posts in risk monitoring and evaluation.

(5) examining the compliance report and other compliance documents presented by the compliance department, and signing them as approval and

These other risk management departments shall take charge of identifying and evaluating various kinds of risks, including their own compliance risks, and reporting the related compliance risk information to the compliance department, and shall, with cooperation with the compliance department, monitor and evaluate compliance risk.

Article 27 The compliance department of an insurance company shall set up a cooperation mechanism with the human resource department, set down a compliance training plan, develop an effective compliance training and education program, and shall regularly organize compliance training courses.

(5) the status and duties of the compliance department and

Article 18 Not only the compliance department, the compliance posts and the professional compliance personnel shall be responsible for compliance, but also each employee and each marketing staff member.

The compliance chief and the compliance department of an insurance company shall ensure that all important internal management systems and business procedures are in compliance.

(4) determining whether to establish the compliance department and its functions

Article 3 Compliance management means that insurance companies shall prevent, identify, evaluate, report and handle compliance risks by taking measures such as establishing the compliance department or the compliance posts, setting down and carrying out compliance policies, conducting compliance monitoring and providing compliance trainings, etc.

Article 15 An insurance company shall set down rules and systems to guarantee that the compliance chief, the compliance department and the compliance posts enjoy the following rights

(1) in accordance with the decisions made by the board of directors, setting up and improving the compliance management organization structure, nominating the compliance chief to the board of directors, establishing the compliance department and providing sufficient conditions for the department to perform its duties

An insurance company shall do the same for the compliance department or the compliance posts of its branch office when conditions permit.

The compliance department, post and staff in any of these branch offices shall be responsible to the chief person in charge of the branch and the compliance department or posts I in the higher level.

The Department was also addressing shortcomings in technical security procedures, training and compliance tools.

Article 14 The compliance department of an insurance company shall perform the duties as follows

A definite mechanism for the cooperation and information communication between the compliance department and the internal auditing department shall be established by an insurance company.

The compliance chief shall be a senior manager of the parent company, and may not concurrently take charge of the business department or the financial department.

An insurance company shall, by working out corresponding compliance policies or other formal documents, determine the organizational structure, duties and rights of the compliance department and compliance posts, and work out measures to ensure their independency.

The internal auditing department shall inform the compliance department of the auditing situation and conclusion upon completion of the internal auditing, while the latter may, in light of the compliance risk monitoring situation, take the initiative to propose suggestions to the former.

(3) under the leadership of the board of directors and the general manager, setting down the annual compliance risk management plan, taking full charge of the compliance management work and directing the work of the compliance department and persons in the compliance related posts

The board of directors and the senior managers shall support the compliance department, the compliance posts and the compliance personnel in performance of their work duties, and take measures to effectively protect them from being unfairly treated when performing duties.

1. Notes with appreciation the action taken by the Department of Public Information in compliance with resolution 61 24

(5) investigating the abnormal circumstances that happened in the operation of the company in accordance with law, and when necessary, requiring the compliance chief and the compliance department to assist and

Compliance with the minimum operating security standards at many UNODC offices was verified by the Department of Safety and Security.

Article 20 The compliance department of an insurance company shall be managed separately from the internal auditing department and be under the independent audit conducted on a regular basis by the latter.

Article 19 A cooperation mechanism between the compliance department and other risk management departments shall be established by an insurance company.

Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 59 30

Article 30 The compliance department of an insurance company shall be responsible for organizing the study of the important supervisory documents circulated by China Insurance Regulatory Committee, make risk indications and put forward compliance suggestions.

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 58 20

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 59 30

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 54 41

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 55 54

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 56 35

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 60 38

The Committee welcomes the statistics provided by the Department for General Assembly and Conference Management concerning compliance by author departments (A 60 112, annex).

The Department appreciates and fully supports the proactive approach of United Nations Headquarters, offices away from Headquarters, agencies, funds, programmes and the Department of Peacekeeping Operations missions towards implementation of and compliance with Minimum Operating Security Standards.

Article 26 The compliance department of an insurance company shall conduct various kinds of compliance investigations in the company according to the requirements of the senior managers, the auditing committee of the board of directors or the board of directors.

1. Notes with appreciation the action taken by the Department of Public Information of the Secretariat in compliance with resolution 56 35 of 3 December 2001

The compliance department shall, after each investigation ends, set down a report concerning the investigation situation and conclusion, and file it with the organ requiring the investigation.