Article 23 The securities firm should set up responsible person for regulatory compliance to audit, supervise or check legal and regulatory compliance of management behavior of securities firm.

(d) Statement on the determination of non compliance Declaration on non compliance

(b bis) Statement of concern on non compliance

(c) Statement of concern regarding possible future non compliance

The securities firm should have appropriate reasons for dismissing responsible person for regulatory compliance and report to the securities regulatory agency under the State Council in written within 3 working days.

Circular of China Insurance Regulatory Commission concerning Printing and Distributing the Guidelines for the Compliance Management of Insurance Companies

(d) Fulfilling compliance and accounting requirements, such as redrafting a statement of investment policy.

The Board conducted not only financial statement audits but also operational and compliance audits.

Article 5 The compliance management of insurance companies shall be supervised and inspected by China Insurance Regulatory Committee and its dispatched offices.

China Insurance Regulatory Committee may, when necessary, irregularly require an insurance company to submit various kinds of comprehensive or special compliance reports.

See, for example, Abram Chayes and Antonia Handler Chayes, The New Sovereignty Compliance with International Regulatory Agreements (Cambridge, Harvard University Press, 1995).

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.

They are for sale to corporations and individuals who want to offset their emissions for non regulatory purposes, are verified by independent verifiers, but are not certified by a regulatory authority for use as a compliance instrument.

She mentioned in particular the Committee's statement, which called for new initiatives to increase compliance with the Convention.

Article 32 China Insurance Regulatory Committee shall, either through the compliance reports submitted by these companies or by conducting on the spot inspections, supervise and evaluate the compliance management work of insurance companies on a regular basis.

In Lithuania, a cleaner production programme is being implemented with support from the Norwegian Government to improve environmental performance, competitiveness and regulatory compliance of industry.

Core work programme activities with prescribed deadlines Maintenance of systems, databases and clearing houses (e.g. GHG information system) Regulatory functions (e.g. CDM Executive Board, Compliance Committee).

Article 12 When a securities firm is set up, its business scope should align with its financial performance, internal control system, regulatory compliance system and human resources

To dismiss the compliance chief, an insurance company shall, within 10 days after the dismissal, submit a report and an explanation thereon to China Insurance Regulatory Committee.

during business operation of the securities firm, it can apply to the securities regulatory agency under the State Council for adjustment of its business scope based on the financial performance, internal control level, regulatory compliance degree, business management capability of officers and quantity of professionals.

Once the responsible person for regulatory compliance finds behavior of law and regulation violation, he should report to agency prescribed in company regulation, and also report to the securities regulatory agency under the State Council or concerning self discipline organization according to the regulation.

(1) Where any head of compliance do not report to the securities regulatory agency of the State Council or relevant self discipline organizations about illegal or irregular acts

(2) examining and approving the annual compliance report of the company, presenting such report to China Insurance Regulatory Committee and taking measures to settle problems referred to in such report

The compliance department of an insurance company shall, in order to accurately apprehend the supervisory requirements, seek advice from China Insurance Regulatory Committee, and feedback the opinions and suggestions of its company.

Article 21 An insurance company shall set down compliance policies and shall report them to China Insurance Regulatory Committee for archival purpose after they are deliberated and approved by the board of directors.

Regulatory issues

Regulatory action

Other regulatory controls

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

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.

Chapter III Compliance Chief and Compliance Department

Fourth, regulatory structures will need to be rebuilt, and this will require a global effort. Absent international coordination, the opportunities for destructive regulatory competition will defeat regulatory reform.

China Insurance Regulatory Commission

China Securities Regulatory Commission

Legal and regulatory environment3

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

The Harm of Regulatory Disharmony

Franchising poses particular regulatory challenges.

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

It concluded that, whereas the techniques were appropriate for ensuring regulatory compliance, in order for them to meet the more stringent requirements for verification, increased sensitivity would be required as well as an enhanced ability to detect specific isotopes and chemical species.

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.

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

As regards unresolved compliance matters, Ukraine is pleased to note that the most recent six party talks, aimed at finding a solution to the nuclear issue on the Korean peninsula, resulted in a joint statement.

In the sixth preambular paragraph, the words national and legal regulatory infrastructure should be replaced by national, legal and regulatory infrastructure .