本文選題：內(nèi)部控制 + 風(fēng)險(xiǎn)管理　； 參考：《華東理工大學(xué)》2014年碩士論文

【摘要】：隨著經(jīng)濟(jì)全球化、人民幣匯率市場(chǎng)化與自由兌換進(jìn)程的加快,資本管制的逐步放開(kāi),金融外匯產(chǎn)品的不斷創(chuàng)新,遠(yuǎn)期結(jié)售范圍不斷擴(kuò)大,外匯指定銀行的外匯風(fēng)險(xiǎn)將更加日�；投鄻踊�,外匯業(yè)務(wù)的內(nèi)部控制也將成為我國(guó)商業(yè)銀行內(nèi)部控制體系的重要內(nèi)容。加強(qiáng)外匯指定銀行外匯風(fēng)險(xiǎn)控制尤為重要,風(fēng)險(xiǎn)管理框架下內(nèi)控制度體系也引起各界人士關(guān)注。A銀行是自19世紀(jì)就進(jìn)入中國(guó)市場(chǎng)的外資銀行。它對(duì)于中國(guó)金融市場(chǎng)融合度高、粘連性大,對(duì)國(guó)內(nèi)需求研究較為透徹,內(nèi)部運(yùn)作模式與國(guó)內(nèi)銀行相仿。另一方面,外資銀行對(duì)于風(fēng)險(xiǎn)框架下的內(nèi)控制度建立和管理相對(duì)國(guó)內(nèi)其他銀行,風(fēng)控意識(shí)更強(qiáng)發(fā)展更早、模式更為成熟先進(jìn)。且目前國(guó)內(nèi)銀行都是通過(guò)借鑒外資行內(nèi)部控制體系逐步建立和完善自身制度,可見(jiàn)外資銀行在風(fēng)險(xiǎn)管理和內(nèi)部控制方面具有很強(qiáng)的示范性和代表性。故本文以借鑒A銀行在垂直化風(fēng)險(xiǎn)管理體系下的內(nèi)控制度的特點(diǎn)進(jìn)行探討。 本文以當(dāng)前國(guó)內(nèi)商業(yè)銀行的內(nèi)控制度為選題,結(jié)合自己在工作實(shí)際和國(guó)內(nèi)銀行的案例,分析、提煉和總結(jié)我國(guó)商業(yè)銀行內(nèi)部控制管理現(xiàn)狀及管理機(jī)制存在的問(wèn)題,基于風(fēng)險(xiǎn)管理理論,針對(duì)我國(guó)商業(yè)銀行特點(diǎn)提出了一些改進(jìn)措施。國(guó)內(nèi)對(duì)銀行業(yè)外匯業(yè)務(wù)抓大放小、宏觀掌控的管理原則使得越來(lái)越多的銀行在外匯業(yè)務(wù)量日益攀升,加之國(guó)際社會(huì)不穩(wěn)定的外部環(huán)境因素多,對(duì)外匯風(fēng)險(xiǎn)的管理任務(wù)愈加沉重和迫切。
[Abstract]:With the globalization of the economy, the acceleration of the process of marketization and free exchange of RMB exchange rate, the gradual liberalization of capital control, the continuous innovation of financial foreign exchange products, and the expansion of the forward settlement range, The foreign exchange risk of designated foreign exchange banks will be more daily and diversified, and the internal control of foreign exchange business will also become an important part of the internal control system of commercial banks in China. It is particularly important to strengthen the foreign exchange risk control of designated foreign exchange banks. The internal control system under the framework of risk management has also aroused the attention of people from all walks of life. Bank A is a foreign bank that has entered the Chinese market since the 19th century. It has a high degree of financial integration and adhesion to China's financial markets, a thorough study of domestic demand, and an internal operation model similar to that of domestic banks. On the other hand, compared with other domestic banks, the foreign banks have stronger awareness of wind control and more mature and advanced mode for the establishment and management of the internal control system under the risk framework. At present, domestic banks have gradually established and perfected their own system by drawing lessons from the internal control system of foreign banks, which shows that foreign banks have strong demonstration and representativeness in risk management and internal control. So this paper discusses the characteristics of A bank's internal control system under vertical risk management system. Based on the current internal control system of domestic commercial banks, this paper analyzes, refines and summarizes the present situation of internal control management and the problems existing in the management mechanism of commercial banks in our country, combining with the actual work and the cases of domestic banks. Based on the theory of risk management, some improvement measures are put forward according to the characteristics of commercial banks in China. Domestic foreign exchange business in the banking sector has been greatly reduced, and the management principle of macro control has made more and more banks increase their foreign exchange business volume. In addition, there are many external factors in the unstable external environment of the international community. The management task of foreign exchange risk is more and more heavy and urgent.
【學(xué)位授予單位】：華東理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.2

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