發(fā)布時間：2018-04-12 16:31

  本文選題：合規(guī)性分析 + 經營活動��； 參考：《西北農林科技大學》2017年碩士論文

【摘要】：基金子公司的發(fā)展源于管理層監(jiān)管的創(chuàng)新,由于此類子公司建立時間不長,公司發(fā)展速度很快,可迅速拓展其發(fā)展規(guī)模,但是其中卻蘊含了很多風險因素,對于此類公司的發(fā)展來說帶來了很多不利因素。經營活動的合規(guī)性是公司發(fā)展的基石。如何量化經營活動合規(guī)性,找出評價指標,是基金子公司乃至監(jiān)管層亟需解決的問題。本文以Y基金管理子公司為例,通過相關資料、文獻歸納合規(guī)性所帶有的內容,進一步的闡述了它的關鍵意義,可以設定出具有合規(guī)理念的評價體系。利用相關合規(guī)性評價體系來分析Y基金子公司具體運作狀態(tài),尋獲出更多相關信息,并提出有效的修正方案。本文主要分為五章。第一章,介紹選題背景、目的、意義,分析了相關文獻資料內容,并制定出相關分析步驟以及方式。第二章,基于基金子公司的產生與發(fā)展對基金子公司經營活動和資管業(yè)務的合規(guī)性現(xiàn)狀進行概述。第三章,簡要介紹了常見的評價指標模型的原理及適用情形,通過專家訪談等方式并融入本行業(yè)有關合規(guī)的相關條件,優(yōu)選出適合基金子公司運用的相關合規(guī)性的評價指標數(shù)據(jù),從而構建出評價體系。第四章,結合Y基金子公司的實際經營合規(guī)情況對Y基金子公司的具體運用情況開展評測,并分析其存在的問題。第五章,針對Y基金子公司存在的問題提出相應的對策。本文的分析結果表明,該公司的運作管理沒有超過合規(guī)性范疇,但其二級指標仍然存在很多問題:從業(yè)人員管理較為混亂、留痕制度管理流于形式、關聯(lián)方交易識別管理不到位、銷售程序規(guī)范缺失。針對以上問題,本文提出:加強從業(yè)人員管理,定期排查;加大合規(guī)監(jiān)督力度,增強合規(guī)意識;制定關聯(lián)交易制度,建立監(jiān)督機制;加強后臺運營的合規(guī)管理,降低操作風險;開展合規(guī)宣導,規(guī)范銷售程序。期望所分析出的成果可以為更多公司帶來借鑒價值,進一步設定出通用標準奠定基礎。本文的創(chuàng)新之處在于采用更加新穎的角度來開展分析活動,分析以前的相關成果可見,多半都是關注內部控制問題,少有細化的評價指標體系構建。本文通過研究設定了最適宜基金子公司采用的合規(guī)性評價體系,將評價體系分為一、二級指標,并運用層次分析法確定權重。為Y基金子公司的整體合規(guī)經營提供理論保障。
[Abstract]:The development of the fund subsidiary originated from the innovation of management supervision. Because of the short time of the establishment of such subsidiary, the rapid development of the company can rapidly expand its scale of development, but it contains a lot of risk factors.There are many disadvantages to the growth of such companies.The compliance of business activities is the cornerstone of the development of the company.How to quantify the compliance of business activities and find out the evaluation index is an urgent problem to be solved by the subsidiary companies of the fund and even the supervisory level.This article takes Y fund management subsidiary company as an example, through the related information, the literature summarizes the content which the compliance has, further elaborated its key significance, may establish the appraisal system which has the compliance idea.The related compliance evaluation system is used to analyze the specific operation status of Y fund subsidiary, to find more relevant information, and to put forward an effective correction scheme.This paper is divided into five chapters.In the second chapter, based on the emergence and development of the fund subsidiary, the paper summarizes the current situation of the fund subsidiary's management activities and the compliance of the capital management business.The third chapter briefly introduces the principle and application of the common evaluation index model, through the way of expert interview and relevant conditions of compliance in the industry,The evaluation index data suitable for the use of the fund subsidiary are selected and the evaluation system is constructed.In the fourth chapter, combined with the actual operating compliance of Y fund subsidiary, the author evaluates the specific application of Y fund subsidiary and analyzes its existing problems.In the fifth chapter, the author puts forward the corresponding countermeasures to the problems of Y-fund subsidiary.The results of this paper show that the company's operational management does not exceed the scope of compliance, but there are still many problems in its secondary indicators: the employees' management is chaotic, and the residual system management is a mere formality.Related party transaction identification management is not in place, the lack of sales procedures.In view of the above problems, this paper puts forward: strengthen the management of practitioners, check regularly; strengthen compliance supervision, enhance compliance awareness; formulate related party transactions system, establish supervision mechanism; strengthen the compliance management of back-office operations, reduce operational risks;Carry out compliance propaganda and standardize sales procedures.It is expected that the results can be used for reference by more companies and lay the foundation for the development of common standards.The innovation of this paper lies in the use of a more novel perspective to carry out analysis activities, analysis of previous related results can be seen, most of them are concerned about internal control problems, few detailed evaluation index system construction.This paper sets up the most suitable evaluation system for the subsidiary companies of the fund, divides the evaluation system into one and two indexes, and determines the weight by using the analytic hierarchy process (AHP).Y fund subsidiary for the overall compliance with the provision of theoretical protection.
【學位授予單位】：西北農林科技大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：F832.39

【參考文獻】

相關期刊論文 前10條

1 梁林;劉兵;劉士臣;;我國新興工業(yè)區(qū)人才聚集能力評價指標體系研究[J];科技管理研究;2014年13期

2 向珍;;淺議我國私募證券投資基金的風險管理內部控制[J];現(xiàn)代交際;2011年10期

3 唐雯;;論證券投資基金內部控制法律制度的缺陷與完善[J];商品與質量;2010年SA期

4 劉忠群;;淺談“合規(guī)創(chuàng)造價值”[J];貴州農村金融;2008年11期

5 郭炫灼;;我國證券投資基金管理公司內控體系現(xiàn)狀及發(fā)展對策[J];現(xiàn)代商業(yè);2007年30期

6 方桂榮;;投資基金關聯(lián)交易法律監(jiān)管制度的完善[J];統(tǒng)計與決策;2007年21期

7 文勝澤;;構建企業(yè)內部控制評價指標體系的理論框架[J];湖北民族學院學報(哲學社會科學版);2007年02期

8 葉雪芳;;內部控制理論的最新發(fā)展及啟示[J];浙江經濟;2005年20期

9 畢秋香,李濟鳳;開放式基金業(yè)績的實證研究[J];南方金融;2003年10期

10 賈潔舫;借鑒成熟市場經驗,發(fā)展開放式證券投資基金[J];東岳論叢;2003年01期

相關博士學位論文 前1條

1 李建良;中國商品期貨市場風險管理機制研究[D];華中科技大學;2010年

相關碩士學位論文 前2條

1 趙樂靜;基金子公司專項資產管理業(yè)務中的法律問題研究[D];北京郵電大學;2015年

2 江萬里;美國投資公司內部控制法律制度研究[D];湖南師范大學;2008年

，

本文編號：1740536