本文以A分行合规体系建设为研究对象,从分析A分行合规管理现状入手,
对A分行合规管理中存在的主要问题做了全面的剖析。在此基础上从合规主体构
建、“规”的构建以及合规风险管理制度构建三个方面对A分行合规管理体系的
构建做了详细阐述。以A分行合规管理现在和合规风险管理体系构建为事实依
据,就如何保障A分行合规风险管理体系给出了政策建议。主要从建立有效的合
规风险管理组织框架、合规应该纳入激励约束机制、建立合规管理制度信息库
以及培养合规文化这几个方面对完善A分行合规管理风险体系给出了可用于实
践指导的建议。
关键词:
合规风险管理;检查监督;风险评估;合规文化
II
Abstract
A branch of China Agricultural Development Bank of Compliance
Risk Management System Optimization Design
Compliance management and create value for all banks and financial institutions
are very important. Compliance management for banks like the source of the river,
but also the basis for the development banks. Create value for banks and financial
institutions are the ultimate goal. A branch of China Agricultural Development Bank
(collectively, the text will be A Branch) as a principal for agricultural development
banks to provide loans to non-profit organizations, although the momentum of rapid
development in recent years, but the increasingly fierce competition in the financial
market such that A branch can not ignore possible irregularities. A branch of how the
future in an invincible position in the financial markets, and continue to broaden the
scope of business is placed in front of top priority. Compliance measures to avoid
possible loopholes and reduce business risk is the A branch to ensure against loss of
money and reputation of the principal means.
In this paper, A branch of the compliance system as the research object, from
the analysis of A branch status quo of compliance management, compliance
management on the A branch of the main problems in doing a comprehensive analysis.
On this basis, the main building from compliance rules of the building and
compliance risk management system to build three aspects of compliance
management system A branch of the construction of a detailed elaboration. A branch
compliance to compliance risk management system is now built as a factual basis,
on how to protect A branch of the compliance risk management system gives policy
recommendations. Mainly from the establishment of an effective compliance risk
management organizational framework, compliance should be included in the
incentive and restraint mechanisms , the establishment of the compliancemanagement
system and repository, and cultivate a culture of compliance in these
areas for improvement A branch of the compliance risk management system that can
be used are given practical guidance suggestions.
Keywords:
Compliance Risk Management; inspection and supervision; risk assessment;
compliance culture