合规管理

DT证券公司合规管理制度构建的研究

Study on DT Securities Company Establishing Compliance Management System

合规管理是企业全面风险管理的重要组成部分。

Compliance management is an indispensable part of overall corporate risk management .

这也是对农村商业银行合规管理研究的目的所在。

This is also to the rural commercial bank compliance management research purpose .

试点工作开展至今，我国证券公司合规管理体系和相关工作已经全面建立和开展。

Up to now , national securities companies have already built up compliance management system .

本系统有利于提高该行行内信息系统的安全管理水平，增强整体风险控制和合规管理能力。

This system is helpful for security management overall risk control and rule management ability .

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。

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

厘清企业战略调整的法律风险，实现人力资源的合规管理。

Realization human resources of the compliance management by clarify the legal risk of the enterprise strategic adjustment ;

确保检查部门独立于业务活动，以保证合规管理的有效性。

Moreover , inspection department should be inde - pendent of business activities to ensure the effectiveness of compliance management .

除外，还指明了合规管理是农村商业银行一项核心的风险管理活动。

Except , also pointed out the compliance management is a core of the rural commercial bank risk management activities .

保险公司应当按照《保险公司合规管理指引》的规定设立合规负责人。

I.An insurance company shall create a compliance chief according to the Guidelines for the Compliance Management of Insurance Companies .

合规管理是保险公司全面风险管理的一项核心内容，也是实施有效内部控制的一项基础性工作。

Compliance management is a core part of comprehensive risk management in insurance companies , and also a basic work for exercising effective internal controls .

最后，简要介绍齐鲁证券的合规管理组织架构，分析存在问题，并提出改进意见。

Finally , it has simply introduced the structure of Qilu Securities Company compliance management , has analyzed current problems , and has raised suggestions .

不同群体的受害者包括最高层级的管理人员；法律顾问；监管、风险与合规管理者；研究人员；科学家收到了不同的邮件。

Different groups of victims frequently including top-level executives ; legal counsel ; regulatory , risk and compliance officers ; researchers ; and scientists are sent different emails .

首先，借鉴著名国外商业银行在合规管理方面的典型经验，从中为国内农村商业银行的合规发展指明方向。

First of all , from the typical experience of famous foreign commercial bank compliance in the management , the development direction of domestic rural commercial bank compliance .

保险公司各部门和分支机构对其职责范围内的合规管理负有直接和第一位的责任。

The departments and branch offices of an insurance company shall , within their respective scope of functions and duties , assume direct and primary responsibility for compliance management .

保险公司合规管理部门应当及时向中国保监会咨询，准确理解和把握监管要求，并反馈公司的意见和建议。

The compliance department of an insurance company shall seek advice from the CIRC to accurately apprehend the supervisory requirements , and feedback the opinions and suggestions of its company .

只有建立符合保险公司自身实际的合规管理体系，才能有效发挥其风险管理和健全企业内控的功能。

Only by establishing a compliance man - agement system suitable to the actual situations of insurers can it play an effective role of risk management and internal con - trol .

指出农村商业银行现已经把如何解决目前国内农村商业银行合规管理中存在的问题和加强合规管理的水平当作自己刻不容缓的重要任务。

Points out that the rural commercial banks now have to solve the current domestic rural commercial bank compliance management problems and improve the compliance management as its important task brook no delay .

我们总结并深入挖掘风险管理、合规管理、汇报体系、管控、绩效管理和细节流程与应用的分析的最佳实践经验，并根据这些经验总结为客户提供公司管控方面的长期改善方案。

Best practices for risk and compliance management , reporting , controlling , and performance management , together with detailed process and application analyses , lay the cornerstone for long-lasting improvements in corporate governance .

本文理论结合实践，文中所提出的解决方案带有一定的普遍性和实用性，具有较强的可操作性，对其他证券企业的合规管理工作的开展也具有相当的指导和借鉴作用。

By combining theory with practice , solutions provided in this thesis are to some extent of generality and practicability and have a strong operability , serving as guidance for other security corporations ' compliance management work .

因此加强证券公司合规管理工作，建立专业的合规管理机构、设立长效化的合规管理制度机制，以实现对于证券公司日常经营业务的监督显得非常必要和迫切。

Therefore , improving compliance management of Securities Company has become necessary . Actually , it is important to build official compliance management department and formulate long-term compliance management institution to monitor the common business of Security Company .

首先介绍了证券公司合规管理的相关概念与理论，进而通过对国内外证券公司合规管理的现状进行介绍研究，剖析了我国证券公司合规管理的现状与存在的问题。

Firstly , it introduces related definitions of compliance management of the Securities Company , research on the current situation of compliance management of Securities Company in both China and foreign countries , and the situation and problems in China .

因此，我认为应当将合规管理与公司治理、企业内部控制有机结合起来，而不是各自为政的管理模式，我认为过去将三者完全分裂的管理模式，是导致证券公司控制失效的重要原因。

So , I think it should be compliance with corporate governance , internal control combine , rather than the fragmented management , I think the past will be split three full management , securities companies control failure leading to an important reason .

总结了全文主要的研究内容、研究成果及其在农村商业银行合规管理实践方面的重要意义；点明了本文的研究缺陷，并针对存在问题提出了农村商业银行需要进一步研究的方向。

Summarized the research content , the main research results and its significance in rural commercial bank compliance management practice ; points out the limitation of this thesis , aiming at the problems of the rural commercial bank , the direction of further study .

通过以上的相关工作，期望可以为证券公司的合规管理带来高效化、流程化、标准化的改变，从而最终实现证券合规管理的健康持续发展。

By means of the above related work , I hope to bring changes for high-efficiency , developed procedure , and standardization to Securities Company compliance management , so that we can finally achieve healthy and sustained development for compliance management of Securities Company .

随后，通过国内外对比分析，指出我国农村商业银行合规管理漏洞的原因主要是由于主观上忽略了合规制度落实与客观上缺乏有效的技术支持所致。

Then , through the analysis of domestic and international comparison , points out that the reason of the rural commercial bank compliance management loopholes as long as it is the result of subjective ignore compliance system implementation and the lack of effective technical support by .

商业银行的公司治理与合规风险管理

Corporate Governance and Regulated Risk Management of Commercial Banks

保险公司合规风险管理体系构建研究

Construction of the Compliance Risk Management System for Insurers

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。

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

综合化经营模式下商业银行的合规风险管理

Compliance Risk Management in Universal Banking