本文選題：合規(guī)風(fēng)險(xiǎn) + 合規(guī)管理��； 參考：《企業(yè)經(jīng)濟(jì)》2011年10期

【摘要】：合規(guī)風(fēng)險(xiǎn)管理是企業(yè)全面風(fēng)險(xiǎn)管理的重要組成部分。近幾年國內(nèi)證券公司違法違規(guī)事件頻發(fā),系統(tǒng)性風(fēng)險(xiǎn)集中顯現(xiàn),與合規(guī)管理機(jī)制缺失密不可分。文章分析了合規(guī)風(fēng)險(xiǎn)管理中存在的問題,并就此提出在健全合規(guī)機(jī)構(gòu)和合規(guī)隊(duì)伍、建立全面的風(fēng)險(xiǎn)監(jiān)控系統(tǒng)、建立完備的合規(guī)績效考核、合規(guī)問責(zé)、誠信舉報(bào)制度、開展合規(guī)文化教育等方面的相應(yīng)措施。
[Abstract]:Compliance risk management is an important part of enterprise overall risk management. In recent years, domestic securities companies break the law and violate regulations frequently, and systemic risk is concentrated, which is closely related to the lack of compliance management mechanism. This paper analyzes the problems in compliance risk management, and puts forward the following suggestions: to perfect compliance institutions and compliance teams, to establish a comprehensive risk monitoring system, to establish a complete compliance performance evaluation, compliance accountability, and integrity reporting system. To carry out corresponding measures in respect of compliance culture and education.
【作者單位】： 淮陰工學(xué)院經(jīng)濟(jì)管理學(xué)院;
【分類號】：F832.39

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相關(guān)期刊論文 前1條

1 畢秋香,何榮天;證券公司風(fēng)險(xiǎn)評估及指標(biāo)預(yù)警系統(tǒng)設(shè)計(jì)[J];證券市場導(dǎo)報(bào);2002年10期

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本文編號：1817166