华泰证券股份有限责任公司反洗钱制度的优化设计

发布时间：2018-05-01 16:07

本文选题：华泰证券股份有限公司 + 反洗钱　；参考：《山东大学》2013年硕士论文

【摘要】：近年来,证券行业洗钱活动十分频繁,严重影响了我国证券交易活动的进行,加强证券行业反洗钱制度建设,是有效打击洗钱活动的重要制度保障,论文选取了华泰证券股份有限公司为例,针对当前华泰证券股份有限公司的内部控制制度的不足,对华泰证券股份有限公司的内部控制制度重新优化设计,同时对证券行业加强反洗钱工作提出经验和启示,研究具有十分重要的理论和现实意义。本文在研究过程中主要运用了文献搜集法、理论研究法、调查研究和案例分析法,研究的重点：一是探索华泰证券股份有限公司反洗钱工作经验和成效,表现为：积极组织反洗钱宣传月活动,加强反洗钱培训,加强客户身份识别工作,严格执行公司客户档案相关管理规定,保管客户资料,根据中国人民银行《金融机构大额交易和可疑交易报告管理办法》及其配套规定,履行报告义务。二是指出华泰证券股份有限公司反洗钱制度不足,表现为：反洗钱宣传工作存在不足,反洗钱专业化人才培养存在不足,可疑交易标准不完善,信息报送支付不规范,反洗钱现场检查效率低且针对性不强,反洗钱交易系统建设在反洗钱预防和控制上存在不足。针对华泰证券股份有限公司反洗钱制度不足,本文得出重要研究结论：必须加强对华泰证券股份有限公司反洗钱内部控制制度优化设计,实施步骤是首先从四个方面对华泰证券股份有限公司的反洗钱内部控制制度结构进行构建,包含“了解你的客户”、可疑交易的识别和报告、特殊账户活动的监控、内部控制程序；然后针对这四个方面,对华泰证券股份有限公司反洗钱内部控制制度进行优化设计。文章最后研究得出了证券行业加强反洗钱工作的配套措施,加强证券行业反洗钱专业复合型人才建设,加强证券行业反洗钱培训和宣传,加大科技投入,提高工作效率,强化反洗钱内控机制建设,建立激励机制,加大对“积极反洗钱”金融机构的激励。
[Abstract]:In recent years, the securities industry money laundering activities are very frequent, which seriously affects the securities trading activities in China. Strengthening the anti-money laundering system construction of the securities industry is an important system guarantee to effectively fight against the money laundering activities. The paper selects Huatai Securities Co., Ltd. as an example, aiming at the deficiency of the internal control system of Huatai Securities Co., Ltd., redesigns the internal control system of Huatai Securities Co., Ltd. At the same time, it is of great theoretical and practical significance to study the experience and enlightenment of strengthening anti-money laundering in securities industry. In the course of the research, this paper mainly uses the literature collection method, the theory research method, the investigation research and the case analysis method. The key points of the research are as follows: first, to explore the experience and effectiveness of anti-money laundering work of Huatai Securities Co., Ltd. They are: actively organizing anti-money laundering propaganda month activities, strengthening anti-money laundering training, strengthening customer identification work, strictly enforcing the relevant regulations on the management of the company's customer files, and keeping customer information, To fulfill the reporting obligations in accordance with the regulations of the people's Bank of China on the Administration of large-value transactions and suspicious transaction reports of Financial institutions and their supporting provisions. Second, it points out that the anti-money laundering system of Huatai Securities Co., Ltd. is insufficient, which shows that there is insufficient propaganda against money laundering, insufficient training of specialized personnel for anti-money laundering, imperfect standards for suspicious transactions, and non-standard information reporting and payment. The anti-money laundering spot inspection efficiency is low and the pertinence is not strong, the anti-money laundering transaction system construction has the insufficiency in anti-money laundering prevention and control. In view of the insufficiency of anti-money laundering system of Huatai Securities Co., Ltd., this paper draws important research conclusions: we must strengthen the optimization design of anti-money laundering internal control system of Huatai Securities Co., Ltd. The implementation steps are to first construct the anti-money laundering internal control system of Huatai Securities Co., Ltd from four aspects, including "knowing your customers," identifying and reporting suspicious transactions, and monitoring the activities of special accounts. The internal control procedure; then the optimization design of anti-money-laundering internal control system of Huatai Securities Co., Ltd. Finally, the paper draws a conclusion that the supporting measures of strengthening anti-money laundering work in securities industry, strengthening the construction of compound talents of anti-money-laundering specialty, strengthening anti-money laundering training and propaganda, increasing scientific and technological input, and improving work efficiency. Strengthen the construction of anti-money laundering internal control mechanism, establish the incentive mechanism, and increase the incentive to the "positive anti-money laundering" financial institutions.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.51

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