This topic examines the compliance responsibilities of the Inspector General. Under any of the following circumstances, the inspector general shall promptly report to the board of directors of the company, the China Securities Regulatory Commission and relevant agencies: (1) The fund and the company have violated laws and regulations. (2) The fund and the company have significant operational risks or hidden dangers. (three) other circumstances that the inspector general thinks need to be reported according to law. (4) Other circumstances stipulated by the China Securities Regulatory Commission. For the above situation, the inspector general should closely follow the follow-up rectification measures and deal with them.

Report to the board of directors of the Company, China Securities Regulatory Commission and relevant agencies. See textbook (Volume II) P 195.