中泰证券：全面强化合规文化建设，助力公司行稳致远

Core View - The core view of the article is that Zhongtai Securities has been actively cultivating and promoting a financial culture with Chinese characteristics, emphasizing compliance, integrity, professionalism, and stability The company has established a core value system of "loyalty, compliance, innovation, and harmonious coexistence" and has strengthened its compliance culture to ensure high-quality development [1] Compliance Culture Development - Zhongtai Securities has evolved from a brokerage firm to a large comprehensive securities firm over the past two decades, steadily enhancing its comprehensive strength The company has inherited and developed valuable experiences and practices, integrating compliance culture into its management activities [2] - The company has recognized that efficient compliance management is not only a necessity to meet regulatory requirements but also an intrinsic driver for high-quality development This understanding has been reinforced by the State Council's 2024 guidelines on strengthening supervision and preventing risks to promote high-quality development in the capital market [2] - Zhongtai Securities has combined compliance culture construction with the establishment of high-level compliance mechanisms, issuing measures to further strengthen compliance management and promote high-quality development [2] Compliance Management Practices - The company has established a comprehensive compliance management system, including a well-defined organizational structure with clear responsibilities at all levels, from the board of directors to individual employees This system ensures independent and balanced decision-making, supervision, and execution [5] - Zhongtai Securities has conducted multiple compliance risk control special rectifications and "look back" activities, focusing on identifying and addressing potential risks in major business areas The company has increased the frequency of on-site inspections and guided relevant units to take effective measures to rectify issues [6] - The company has implemented digital transformation strategies to enhance compliance efficiency, upgrading monitoring systems and optimizing indicators to meet regulatory requirements and adapt to business development needs Zhongtai Securities has also developed an intelligent compliance service platform, "Beehive Xiaozhi," to provide convenient compliance consulting services for employees [6] Compliance Culture Promotion - Zhongtai Securities has been actively promoting compliance culture through various means, including the publication of over 40 compliance-themed articles in the "Zhongtai Securities News" and conducting more than 20 specialized training sessions annually on compliance management across different business lines [4] - The company has integrated compliance into daily operations by compiling compliance risk point lists, integrity risk lists, and branch compliance manuals These materials guide branches in compliant operations and enhance the company's compliance management's foresight, effectiveness, and precision [4] Future Direction - Zhongtai Securities plans to continue deepening its financial culture with Chinese characteristics and industry culture, further enhancing compliance management levels to build a first-class securities company that is loyal, compliant, innovative, and harmonious The company aims to better serve the real economy and the high-quality development of the capital market, contributing to the construction of a financial powerhouse [7]