不当行为风险治理新进展及其对国际银行业的影响——基于FSB进度报告的分析
发布时间：2018-07-29 08:06
【摘要】：不当行为风险是公司及其员工的行为方式对客户、投资者或交易对手产生不良后果的风险,包括产品不当销售、违反规则和操纵市场等,严重的不当行为风险还可能对金融系统的有效运行产生负面影响。文章探讨了不当行为风险的概念来源、演进过程及基本特征,并分析了金融稳定委员会(FSB)发布的两份关于不当行为风险治理的进度报告。FSB进度报告的推出和持续完善,有助于深化认识金融机构的不当行为风险及其对客户乃至金融系统的影响,也必然对国际银行业的薪酬结构、治理框架和风险文化、批发市场良好行为实践等方面带来持续而深远的影响。
[Abstract]:The risk of misconduct is the risk that the behavior of the company and its employees has adverse consequences to the customer, the investor or the counterparty, including the improper sales of the product, the violation of the rules and the manipulation of the market. The serious misconduct risks may also have a negative impact on the effective operation of the financial system. The article discusses the concept of the risk of improper behavior. The origin, evolution process and basic characteristics, and the analysis of the two progress report issued by the financial stability Commission (FSB) on the progress report on the management of the risk of misconduct.FSB progress report and the continuous improvement, which will help to deepen the understanding of the risk of improper behavior of financial institutions and their impact on the customers and the financial system, as well as to the international banking industry. The salary structure, governance framework and risk culture, and the good practice of wholesale market have brought about lasting and far-reaching influence.
【作者单位】： 北京大学国家发展研究院;中国工商银行博士后科研工作站;中国工商银行总行内控合规部;
【基金】：中国博士后科学基金面上项目“主权信用评级变动对股票市场的传染机制研究”(项目编号:2016M601091)
【分类号】：F831
本文编号：2152046
[Abstract]:The risk of misconduct is the risk that the behavior of the company and its employees has adverse consequences to the customer, the investor or the counterparty, including the improper sales of the product, the violation of the rules and the manipulation of the market. The serious misconduct risks may also have a negative impact on the effective operation of the financial system. The article discusses the concept of the risk of improper behavior. The origin, evolution process and basic characteristics, and the analysis of the two progress report issued by the financial stability Commission (FSB) on the progress report on the management of the risk of misconduct.FSB progress report and the continuous improvement, which will help to deepen the understanding of the risk of improper behavior of financial institutions and their impact on the customers and the financial system, as well as to the international banking industry. The salary structure, governance framework and risk culture, and the good practice of wholesale market have brought about lasting and far-reaching influence.
【作者单位】： 北京大学国家发展研究院;中国工商银行博士后科研工作站;中国工商银行总行内控合规部;
【基金】：中国博士后科学基金面上项目“主权信用评级变动对股票市场的传染机制研究”(项目编号:2016M601091)
【分类号】：F831
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