Ms. Alice Liang, Senior Partner of King&Capital Law Firm and Director of King&Capital Criminal Defense Research Center, was invited to give a lecture to the employees of Guolian Securities on the topic of compliance and cleanliness and self-discipline.
The lectures were divided into three sessions, which were explained and analyzed in three aspects, namely, analysis of the risk of job-related crimes of state-owned securities companies, facts and standards of criminal offenses in the main business of securities companies, and the construction of cleanliness and self-discipline and corporate compliance management system.
First, state-owned securities company job crime risk analysis
On March 25, 2022, the first special lecture was mainly focused on the topic of job-related crimes of securities companies. Lawyer Liang Yali pointed out that criminal risks are always present and need to be paid full attention to, and higher risk management awareness is needed in personnel management and business development. Liang Yali lawyer from the commercial bribery crimes, company property-related crimes, company personnel crimes and other perspectives, combined with the latest laws, judicial interpretations and a number of typical cases, each of the crimes involved in the detailed interpretation and analysis, to participate in the training of the staff played a better role in law and warning.
II. Facts and standards for the determination of criminal offenses in the main business of securities companies
On April 21, 2022, the second seminar was held as scheduled, and the main training content was the facts and standards for the determination of criminal offenses in the main business of securities companies. From the analysis of specific laws and regulations and practical cases, it explained the high incidence of offenses in the course of the performance of duties of the securities staff one by one, including securities crimes, such as fraudulent issuance of securities, crimes of unlawful disclosure and non-disclosure of important information, etc.; also including financial crimes, such as crimes of illegal absorption of public deposits, crimes of unlawful disclosure of important information, crimes of unlawful absorption of public deposits, crimes of illegal disclosure of important information, and so on. The crimes include securities crimes, such as fraudulent issuance of securities, violation of disclosure, non-disclosure of material crimes, etc.; also include financial crimes, such as the crime of illegal absorption of public deposits, fund-raising fraud, loan fraud, breach of trust in the use of fiduciary property, money laundering. Through the interpretation of specific crimes, the employees involved in the training have a deeper level of comprehension and understanding of the criminal risks associated with the main business.
C. Integrity and Corporate Compliance Management System Construction
On May 12, 2022, the theme of the third lecture was integrity and self-discipline and enterprise compliance management system construction. This lecture started from the four aspects of the promotion of the compliance management system on integrity and self-discipline, the reform of compliance and non-prosecution of enterprises involved in the case and the introduction of typical cases, the standards of the construction of compliance management system of enterprises involved in the case and the assessment of its effectiveness, and the practice of enterprise compliance, combined with the case of the compliance case of Hunan Construction Industry Group Co, Ltd. compliance case, anti-bribery management system construction of ZTE Corporation and other typical compliance rectification cases in practice, introduced the importance of compliance management system and integrity construction to enterprise development.
Through three special lectures, Guolian Securities criminal compliance and integrity seminar harvested good results, Liang Yali lawyer with my team handled a number of job-related crimes, securities crimes, compliance and rectification of cases related to real cases as an example, to facilitate the staff to the practice of risk to produce a concrete understanding, played an effective role in legal interpretation and risk tips.
