The Compliance Department is responsible to the Compliance Director, and its specific responsibilities in case prevention include:

1. Formulate policies, systems and operational procedures for case prevention management of this institution;

2, organize the implementation, coordinate the implementation of case prevention work decisions and annual case prevention work plan;

3. Collect and summarize the case prevention work, regularly analyze the case prevention situation of this institution, and determine the focus of case prevention work;

4, urge all departments and branches to earnestly perform their duties of case prevention, to ensure the normal operation of case prevention management system;

5. Follow up and implement the case prevention and supervision requirements put forward by the regulatory authorities;

6, regularly organize case prevention work training.

Financial institutions should make it clear that the department responsible for compliance management (referred to as compliance department) is the lead department in case prevention work, and take the organization and implementation of case prevention work of their own institutions as an important duty.