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MBA硕士论文_Y基金子公司经营活动合规性分析DOC

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文本描述
摘要
基金子公司的发展源于管理层监管的创新,由于此类子公司建立时间不长,公司发
展速度很快,可迅速拓展其发展规模,但是其中却蕴含了很多风险因素,对于此类公司
的发展来说带来了很多不利因素

经营活动的合规性是公司发展的基石。如何量化经营活动合规性,找出评价指标,
是基金子公司乃至监管层亟需解决的问题。本文以 Y 基金管理子公司为例,通过相关资
料、文献归纳合规性所带有的内容,进一步的阐述了它的关键意义,可以设定出具有合
规理念的评价体系。利用相关合规性评价体系来分析 Y 基金子公司具体运作状态,寻获
出更多相关信息,并提出有效的修正方案

本文主要分为五章。第一章,介绍选题背景、目的、意义,分析了相关文献资料内
容,并制定出相关分析步骤以及方式。第二章,基于基金子公司的产生与发展对基金子
公司经营活动和资管业务的合规性现状进行概述。第三章,简要介绍了常见的评价指标
模型的原理及适用情形,通过专家访谈等方式并融入本行业有关合规的相关条件,优选
出适合基金子公司运用的相关合规性的评价指标数据,从而构建出评价体系。第四章,
结合 Y 基金子公司的实际经营合规情况对 Y 基金子公司的具体运用情况开展评测,并
分析其存在的问题。第五章,针对 Y 基金子公司存在的问题提出相应的对策

本文的分析结果表明,该公司的运作管理没有超过合规性范畴,但其二级指标仍然
存在很多问题:从业人员管理较为混乱、留痕制度管理流于形式、关联方交易识别管理
不到位、销售程序规范缺失。针对以上问题,本文提出:加强从业人员管理,定期排查;
加大合规监督力度,增强合规意识;制定关联交易制度,建立监督机制;加强后台运营
的合规管理,降低操作风险;开展合规宣导,规范销售程序。期望所分析出的成果可以
为更多公司带来借鉴价值,进一步设定出通用标准奠定基础

本文的创新之处在于采用更加新颖的角度来开展分析活动,分析以前的相关成果可
见,多半都是关注内部控制问题,少有细化的评价指标体系构建。本文通过研究设定了
最适宜基金子公司采用的合规性评价体系,将评价体系分为一、二级指标,并运用层次
分析法确定权重。为Y基金子公司的整体合规经营提供理论保障

关键词:合规性分析;经营活动;基金公司;Y 基金子公司OPERATION COMPLIANCEANALYSIS ON Y
SUBSIDIARY FUND CORPORATION
ABSTRACT
The development of subsidiary fund corpor ation is greatly m otivated by regulatory
innovation of management. As the special account manager of public fund corporations, the
main task of subsidiary fund corporations is to expand the asset management business in the
current period, and although developing rapidly , they still encounte r several risks and
challenges. There are uncertainties in their operation and development.
Compliance of operation is the basis of develo pment. It is ur gent for subsidiary fund
corporations and even the management to quantify the compliance of operation activities and
seek for evaluation indexes. This paper m akes a scientific definition of compliance
management by referring to relevant materials and literature and further summarizes the
importance of compliance. The paper takes an example of Y subsidiary fund corporation by
plugging the real condition data of Y corporation into the ev aluation system of compliance
management, and then m aking analysis on its evaluation result to figure out current and
potential problems in its com pliance management as well as putting f orward responding
recommendations.
This article is divided into five chapters. In the first chapter, this paper introduces the
background, purpose and meaning of the selected subject, analyzes the contents of relevant
literature, and develops the relevant analys is steps and m ethods. Chapter ii, based on the
production and development of the fund subsidia ry, provides an overview of the status quo
of the management activities and the capital management business of the fund subsidiary .
The third chapter, this paper briefly introduc es the common principle of evaluation index
model and the suitable situation, through expert interviews and other ways and integrate the
industry related to compliance related conditions, optimizing the use of related com pliance
evaluation for fund subsidiary index data, so as to build up the evaluation system. Chapter 4,
in the light of the actual operation compliance situation of the Y subsidiary fund corporation,
evaluate the specific use of the Y subsidiary fund corporation and analyze its existing
problems. Chapter five, the corresponding countermeasures are put forward for the problems
of the Y subsidiary fund corporation.
In this paper, the analysis results show that the company&39;s operation management more
than compliance category, but the secondary indicators still ex ists many problem s: thepersonnel management system of more chaos, nicked management become a mere formality,
the affiliated party transactions identification management does not reach the designated
position, lack of sales program specification. In response to these questions, this paper puts
forward: strengthen the m anagement of practitioners and c onduct regular checks; Increase
compliance oversight and increase com pliance awareness; Establish a system of related
transactions and establish supervisory mechanisms; Strengthen the compliance management
of back-office operations and reduce the opera tional risk; Conduct and conduct compliance,
standardize sales procedures. The results of the analysis are expected to bring value to more
companies and set the foundation for common standards.
The innovation of this articl e is to adopt a m ore innovative approach to analyzing
activities, In the past, most of them were focused on internal control issues, with few
detailed evaluation metrics. In this paper, we set up the criterion evaluation system which is
adopted by the optim um fund subsidiary, the evaluation system is di vided into 1 and 2
indexes, Use analytic hierarchy p rocess to d etermine the weight. Provide theoretical
guarantee for the overall compliance operation of the Y subsidiary fund corporation.
KEY WORDS: Compliance Analysis, Operation Activit ies, Subsidiary Fund Corporation,
Y-corporation目 录
第一章 导论....1
1.1 选题背景..........1
1.2 研究目的与意义.......
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