提升企业遵循管理能力需要重点关注的问题探讨被引量：1

Studies on the key Issues Related to the Ability Improvement of Compliance Management in Enterprise

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摘要在国外正处于初步发展阶段的遵循管理是风险管理核心相当严重的缺口,传统的仅关注于对外部法规的遵循是不够的。本文通过分析遵循管理国内外研究现状的基础上,探讨了提升企业遵循管理能力需要重点关注的问题。 Compliance management which is at the preliminary stage overseas is regarded as a serious gap in enterprise risk management. Based on the literatures summarization, the paper discussed the key issues related to the ability improvement of compliance management.

作者张巧良雷鞠宋颖超

机构地区兰州理工大学国际经济管理学院

出处《财务与金融》北大核心 2008年第4期57-61,共5页 Accounting and Finance

关键词企业能力遵循管理遵循管理文化信息系统 Enterprise ability, Compliance management, Assessment system, Key issues

分类号 C93 [经济管理—管理学]

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参考文献5

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二级参考文献10

1张炜.商业银行合规风险控制[J].中国城市金融,2004(8):7-9. 被引量：5
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4[1]Basel Committee on Banking Supervision Consultative Document: 《The compliance function in banks 》( October2003).
5[2]Basel Committee on Banking Supervision Consultative Document:《 Framework for Internal Control Systems in Banking Organizations 》(September 1998).
6[3]Responsibilities of the board of directors for com pliance - Principle 1The bank's board of directors has the responsibility for overseeing the management of the bank 〈 scompli ance risk. The board should approve the bank compliance policy, including a charter or other formalocument establishing a permanent compliance function. At least once a year, the board or a committee of theboard should review the bank 〈 s compliance policy and its ongoing implementation to assess the extent towhich the bank is 6、Responsibilities of senior mangement for compliance - Priniciple 2The bank's senior management is responsible for es tablishing a compliance policy, ensuring that it is observed and reporting to the board of directors on its ongoing implementation. Senior management is also re sponsible for assessing whether the compliance policy is still appropriate.
7[4]Responsibilities of senior management for compliance - Principle 3The bank's senior management is responsible for es tablishing a permanent and effective compliance func tion within the bank as part of the bank's compliance policy.
8[5]Independence - Principle 5 The bank's compliance function should be independent from the business activities of the bank.
9[6]Role and responsibilities - Principle 6 The role of the bank's compliance function should be to identify, assess and monitor the compliance risks faced by the bank, and advise and report to senior management and the board of directors about these risks.
10[7]Principle 8 Staffexercising compliance responsibilities should have the necessary qualifications, experience and professional and personal qualities to enable them to carry out their duties effectively.