中小银行合规管理有效性分析
发布时间：2018-07-27 16:43
【摘要】：依法合规经营,是《商业银行法》对商业银行的基本要求,是规范银行经营行为、有效防范风险的重要前提,也是衡量中资银行经营管理水平的重要指标。从近几年发生的违规案件来看,中小银行的合规失效问题严重。有章不循、执章不力,银行内部相互的制衡机制难以有效地发挥作用,是导致案件发生的重要原因。本文对中小银行合规管理进行了初步梳理,并对如何提升中小银行合规管理的有效性提出若干建议。
[Abstract]:Managing according to law is the basic requirement of the Commercial Bank Law for commercial banks. It is an important prerequisite for standardizing bank management behavior and effectively preventing risks. It is also an important index to measure the management level of Chinese banks. From the violations occurred in recent years, the compliance of small and medium-sized banks is a serious problem. Some rules do not follow, the enforcement of the rules is weak, the internal checks and balances of banks are difficult to play an effective role, which is an important reason leading to the occurrence of cases. In this paper, the compliance management of small and medium banks is preliminarily combed, and some suggestions on how to improve the effectiveness of compliance management of small and medium banks are put forward.
【作者单位】： 江苏银行上海分行;
【分类号】：F832.2
[Abstract]:Managing according to law is the basic requirement of the Commercial Bank Law for commercial banks. It is an important prerequisite for standardizing bank management behavior and effectively preventing risks. It is also an important index to measure the management level of Chinese banks. From the violations occurred in recent years, the compliance of small and medium-sized banks is a serious problem. Some rules do not follow, the enforcement of the rules is weak, the internal checks and balances of banks are difficult to play an effective role, which is an important reason leading to the occurrence of cases. In this paper, the compliance management of small and medium banks is preliminarily combed, and some suggestions on how to improve the effectiveness of compliance management of small and medium banks are put forward.
【作者单位】： 江苏银行上海分行;
【分类号】：F832.2
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