Recently, Guo, a capital trader of Shanghai Li Investment Management Co., Ltd., and her husband Wang were found to have engaged in bond matching transactions by inflating transactions and selling low and buying high, seeking personal benefits. This case once again highlights the importance of corporate compliance management. As one of the important measures to ensure corporate compliance management, the unified examination of professional competence (level) of corporate compliance professionals is of great significance for cultivating professionals and maintaining the stability of the financial market. Shanghai Li Investment Management Co., Ltd. (hereinafter referred to as "Li Company") is a private equity fund manager engaged in bond market investment business. Recently, the company's capital trader Guo and her husband Wang were exposed to be suspected of taking advantage of their positions to conduct bond matching transactions by inflating transactions and selling low and buying high, and made personal gains from them.
This case has once again aroused people's thinking and attention to corporate compliance management. Corporate compliance management is a very important part of the operation process of enterprises, which aims to ensure that enterprises comply with laws and regulations, standardize business behaviors, and maintain market order. In today's complex and highly competitive business environment, it is particularly important to strengthen corporate compliance management.
In order to improve the level of corporate compliance management, cultivate professional talents, and ensure the stability of the financial market, the unified examination for the professional ability (level) of corporate compliance professionals came into being. Through the assessment of bond market laws and regulations, compliance risk control, ethics and professional conduct, etc., this examination aims to select talents with professional knowledge and practical experience, and provide reliable compliance guidance and consulting for enterprises. The Unified Professional Competency (Level) Examination for Corporate Compliance Professionals covers a wide variety of test points, including the basis of laws and regulations, risk management and internal control, ethics and professional conduct, and other fields. The exam materials include relevant national laws and regulations, industry guidelines and best practices, and comprehensively cover the knowledge required for corporate compliance management. The syllabus of the test clarifies the proportion and content requirements of each test center, and provides targeted guidance to candidates.
It is worth noting that the only registration channel for the unified examination of professional competence (level) of corporate compliance professionals is the unified examination website of professional competence (level) of corporate compliance professionals. Those who wish to take the exam need to log in to the website within the specified time to complete the registration procedure and pay the registration fee as required. In addition, the unified examination for the professional competence (level) of corporate compliance professionals is an offline examination, and there are test centers in all provinces and municipalities directly under the central government across the country. This allows those taking the test to choose to register nearby, reducing the travel cost and time cost of the candidate.
The latest Unified Examination for Corporate Compliance Professionals will be held on March 30, 2024. It is hoped that people who are interested in engaging in corporate compliance work can seize this opportunity to take the exam and achieve excellent results, so as to provide more professional and standardized compliance services for enterprises and institutions. Guo and Wang's use of their positions to conduct bond matching transactions and personal profit-making seriously violated the principles of corporate compliance management and laws and regulations. The Unified Examination for the Professional Ability (Level) of Corporate Compliance Professionals is set up to prevent the recurrence of similar incidents and provide professional and efficient compliance services for enterprises.
The unified examination of professional competence (level) of corporate compliance professionals is of great significance and has broad prospects. It is believed that through the selection and training of this examination, more high-quality and professional corporate compliance talents will be sent to all sectors of society, and the healthy development of the mainland financial market will be further promoted. If you need to know more about the Unified Professional Competency (Level) Examination for Corporate Compliance Professionals, please visit the Unified Professional Competency (Level) Examination for Corporate Compliance Professionals website