S市城商行内控制度建设的案例研究

发布时间：2018-03-28 13:07

本文选题：城市商业银行　切入点：内部控制系统　出处：《华东理工大学》2014年硕士论文

【摘要】：银行业作为当今风险最高的行业之一,风险防范工作一直是其工作的重点,而有效的内部控制能够很好地帮助银行避免风险的发生,所以内控制度建设是银行工作的重中之重。城商行十多年历史的发展,已经逐步成为当地甚至周边区域经济建设过程中不可忽视的力量,为了有效地防范风险,其内控制度建设不容忽视。本文选取了具有代表性的S市城商行作为研究对象,通过查阅内部资料、访问内部员工、形成调查结果,综合运用定性分析与定量分析相结合的方法,在对S市城商行的内控制度有了整体把握的基础上,发现其中存在的问题,并通过作者的所见所学,针对性地提出了完善S市城商行内控制度建设的建议。希望通过本文的研究与结论,能够使s市城商行在完善内控制度的基础上,有更好的发展,也希望全国众多的城市商业银行可以选择性地借鉴论文的研究与结果,结合自身情况,进一步完善自身的内控制度建设,从而更加健康、高效地发展。
[Abstract]:As one of the most risky industries, banking industry has always been the focus of its work on risk prevention, and effective internal control can help banks to avoid the occurrence of risk. Therefore, the construction of internal control system is the most important part of the banking work. With the development of more than 10 years of history, the city commercial banks have gradually become a force that cannot be ignored in the process of economic construction in the local and even surrounding regions. In order to effectively guard against risks, The construction of internal control system should not be ignored. This article selects the representative S city commercial bank as the research object, through consulting the internal information, visits the internal staff, forms the investigation result, synthetically uses the qualitative analysis and the quantitative analysis to combine the method, On the basis of holding the internal control system of the city commercial bank of S city as a whole, this paper finds out the existing problems, and through what the author has learned, puts forward some suggestions to perfect the construction of the internal control system of the city commercial bank of S city. It is hoped that through the research and conclusion of this paper, the city commercial bank of s city can develop better on the basis of perfecting the internal control system, and also hope that many city commercial banks in china can use the research and results of the thesis for reference selectively. According to their own situation, further improve their own internal control system construction, so as to develop more healthily and efficiently.
【学位授予单位】：华东理工大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.33;F830.42

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