摘要
有效的合规风险管理是电力交易构建全面风险管理体系的关键所在,也是电力市场正常运营的基础与核心,但是国内关于电力交易机构合规风险问题仍然比较空缺。因此,文章首先阐述电力交易机构合规风险的概念、合规规范及合规风险的来源,进而指出了电力交易机构合规风险管理的必要性;然后,根据合规风险的不同演变进程分别分析了合规风险管理的目标,从战略发展、业务经验、市场管理与人员管理的角度出发,全面梳理了电力交易机构的合规风险因素;最后,基于FMECA法建立了电力交易机构合规风险的评估与分级模型,并提出了相应的风险处置措施。
Effective compliance risk management is the key to the construction of a comprehensive risk management system for power trading,and it is also the foundation and core of the normal operation of the power market.However,domestic issues concerning compliance risks of power trading institutions are still relatively vacant.The article first elaborates the concept of compliance risk,compliance regulations and the source of compliance risk for power trading institutions,and then points out the necessity of compliance risk management for power trading institutions.Then,according to the different evolution processes of compliance risks,the objectives of compliance risk management were analyzed separately,and the compliance risk factors of power trading institutions were comprehensively sorted out from the perspectives of strategic development,business experience,market management and personnel management.Finally,based on the FMECA law,an assessment and classification model of compliance risks for power trading institutions is established,and corresponding risk treatment measures are proposed.
作者
张硕
王琪
袁明珠
ZHANG Shuo;WANG Qi;YUAN Mingzhu(Beijing Electric Power Trading Center,Beijing 100031,China)
出处
《电力与能源》
2022年第1期95-101,共7页
Power & Energy
关键词
电力交易机构
企业合规
合规风险
风险管理
power trading institutions
corporate compliance
compliance risk
risk management
