Compliance Risk

Construction of the Compliance Risk Management System for Insurers

保险公司合规风险管理体系构建研究

Implementation of compliance risk management has become a key link in the management level .

实施合规风险管理已经成为确保提高经营管理水平的关键环节。

Research on the Design of Tax Compliance Risk Management Model in Tax Inspection

税务稽查税收遵从风险管理模式的构建研究

The Study on Compliance Risk Control System Construction of EA Bank XA Branch

EA银行XA分行合规风险控制系统研究

This consultation paper has been the compliance risk management guidance document of banks in other country .

该咨询文件随即成为一些国家的监管机构和银行规范合规风险管理的指导性文件。

The procedures alternation of compliance risk management mainly realized by establishing response mechanism and observation system .

合规管理流程的改造主要通过建立政策响应机制及合规风险监测信息系统并互相配合来实现。

Compliance Risk Management in Universal Banking

综合化经营模式下商业银行的合规风险管理

Lastly , it briefly analysis the mechanisms of the compliance risk management about the Lu Zheng Futures Limited Company .

最后，对鲁证期货的合规风险管理机制进行了简要的评析。

More and more banks crimes were exposed in 2005 . It has exposed the compliance risk management weaknesses of the state-owned commercial banks .

2005年是国内多家国有商业银行大案要案频发的一年，这些案件暴露出国有商业银行合规风险管理的薄弱环节。

After Barings Bank falling , noncompliance case of Societe Generale attracts significant concern on compliance risk management of financial organizations again .

继巴林银行破产案后，法国兴业银行巨额金融违规案使得世界金融市场的焦点重新聚集在银行合规风险管理问题上。

In order to response the Basel Committee on Banking Supervision , the China Banking Regulatory Commission promulgated 《 Management Guidelines of Commercial Bank Compliance Risk 》 in 2006 .

作为对巴塞尔委员会文件的积极响应，中国银行业监督管理委员会于2006年10月颁布了《商业银行合规风险管理指引》。

Finally , the paper puts forward the guarantee measures of compliance risk management system , and makes a comprehensive optimizing scheme which is fit for both its own development and the external competition .

最后，提出合规风险管理体系的保障措施。从而制定出既适合公司自身发展又适应外部竞争的综合性方案，加强合规风险管理，实现天赋证券公司跨越式发展。

On this basis , we design the commercial banks compliance risk management framework and in put forward a centralized management and line-report-based compliance management ideas and provide the line of the report .

在此基础上，设计了商业银行合规风险管理体系框架，提出了以集中化管理和条线式报告为主的合规管理思路，并明确了报告路线。

Meanwhile , accelerating trends like SOAs , escalating compliance risk , and the growing ubiquity of distributed development has put intense pressure on today 's homegrown build / deploy systems .

同时，促进像SOA这样的趋势、增大法规遵从的风险，以及分布开发普遍性的增加，都对现今自制的构建或部署系统施加了巨大的压力。

Therefore , enhance compliance risk management , effectively control compliance risk have become a very important and urgent problem for commercial banks to deal with , a internal sustainable and stable motivation for the banks development .

因此，加强合规风险管理、有效把控合规风险，已成为商业银行需要迫切有效应对的重大课题，已成为商业银行持续、稳健发展的内在动力。

The State Administration of Taxation has placed tax compliance risk management in the strategic planning of tax collection and management of our country and takes it as an important development direction in tax collection and management .

国家税务总局已将税收遵从风险管理列入我国税收征收管理战略规划，并将其作为税收征管的重点发展方向。

The development of bank compliance risk management system has been finished , and it has been put into operation for almost half a year . The main feature of this system is platform-independent and loose coupling .

银行合规风险管理系统现已开发完成，已投入使用将近大半年，整个系统具有与平台无关性，是一个松耦合的应用系统。

In this paper , a complete risk assessment indicators designed , which include regional economic and financial aggregates , regional risk control indicators , products and services category of risk indicators and compliance risk index category .

本文建立了一套完整的风险评估指标，包括区域经济金融总量指标、区域风险控制能力指标、产品及服务类风险指标和合规类风险指标。

The reasons of resulting in the violation operations of financial institutions and the crime of employees of banks are various . But the most reason is the missing of management system of compliance risk in bank .

造成银行业金融机构违规操作和违规经营以及银行从业人员违法犯罪案件多发的原因有很多，而银行内部合规风险管理体系的缺失乃是其中最根本和最主要的原因之一。

But the Commercial Bank of our country , especially the rural commercial bank , the development of compliance risk basically in long-term development stage . Therefore , it is of profound significance to our country rural commercial banks compliance management construction .

但我国商业银行，尤其是农村商业银行，合规风险的发展基本上处于长期发展阶段。因此，对我国农村商业银行开展合规管理建设无疑具有深远的现实意义。

This thesis has pointed out the weak links in commercial banks ' risk management as well as the main characteristics that compliance risk management system should have , and put forward relevant proposals on how to establish a compliance risk management system .

本文指出了商业银行风险管理工作中存在的薄弱环节和合规风险管理体系应具备的主要特点，并就如何建立合规风险管理体系提出了相关建议。

As early as the 1990s , a number of international banks have been recognized that a variety of outbreak of the operation risk and the scandals of money laundering result from the compliance risk management of bank out of control .

国际上一些跨国银行早在20世纪90年代就已经认识到，相继发生的重大操作风险和银行洗钱案等风险丑闻，大多是由于银行自身的合规风险管理失控所造成的。

As far back as the 1990s , some international finance companies have already realized that , risk scandals as great operational risk case and money laundering taking place in succession , mostly caused by its failure management of compliance risk .

20世纪90年代，一些跨国性金融公司就已经认识到，相继发生的重大操作风险和洗钱案等风险丑闻，突显出了公司自身合规风险管理失控问题的严峻性。

And then , by introducing the practice experience of some typical OECD countries in tax compliance risk management model in tax inspecting , it brings beneficial inspiration for the designing of tax compliance risk management model in tax inspecting in our countries .

其次，通过介绍OECD几个典型国家税务稽查税收遵从风险管理模式的实践经验，对构建我国税务稽查税收遵从风险管理模式带来了有益的启示。

In recent years , the concept of tax compliance risk management has gradually become essential in the work of tax collection and management , played a certain guiding role in tax practice , and achieved good results in the practice of tax inspecting management in some regions .

近年来，税收遵从风险管理理念已逐步深入到税收征管工作中来，对税收实践起到了一定的指导作用，并在一些地区的税务稽查管理的实践中取得了较好的成效。

Then , it analyzes the change of inspecting efficiency under the condition of tax compliance risk management in tax inspecting , points out that there is an obvious improvement of inspecting efficiency and this is proved in the practices in some advanced regions in China .

然后，分析了在税务稽查税收遵从风险管理条件下稽查效能的变化，指出稽查效能的提高是明显的，并在国内一些先进地区的应用中得到验证。

By altering the procedures of compliance risk management , which means getting the results of enhancing , completing compliance risk management by initially distinguishing compliance risk management , initially evaluating compliance risk management , initially controlling and tracing whole procedure of compliance risk management .

合规风险管理流程改造也即是通过主动识别合规风险、主动评估合规风险、主动控制跟踪合规风险的全流程管理，从而达到强化、完善合规风险管理的目的。

Puts forward the countermeasures against the problems found : firstly , to establish compliance risk management framework of science , secondly to compliance into the incentive and restraint mechanisms , and the establishment of efficient compliance accountability , and finally to the compliance culture construction .

针对文章发现的问题，提出对策：首先要建立科学的合规风险管理框架，其次要把合规纳入激励约束机制、然后建立高效的合规问责制，最后重视合规文化建设。

Solutions to help implement compliance and risk management .

帮助实现对法规遵从和风险管理的解决方案。

Incorporating the compliance , risk and governance processes into the CMMI requires planning ahead of time .

将法规遵循、风险及治理过程结合到CMMI中需要提前计划。