本文選題：合規(guī)性分析 + 經(jīng)營活動��； 參考：《西北農(nóng)林科技大學(xué)》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(yùn)含了很多風(fēng)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(jīng)營活動的合規(guī)性是公司發(fā)展的基石。如何量化經(jīng)營活動合規(guī)性,找出評價指標(biāo),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(guān)資料、文獻(xiàn)歸納合規(guī)性所帶有的內(nèi)容,進(jìn)一步的闡述了它的關(guān)鍵意義,可以設(shè)定出具有合規(guī)理念的評價體系。利用相關(guān)合規(guī)性評價體系來分析Y基金子公司具體運(yùn)作狀態(tài),尋獲出更多相關(guān)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(guān)文獻(xiàn)資料內(nèi)容,并制定出相關(guān)分析步驟以及方式。第二章,基于基金子公司的產(chǎn)生與發(fā)展對基金子公司經(jīng)營活動和資管業(yè)務(wù)的合規(guī)性現(xiàn)狀進(jìn)行概述。第三章,簡要介紹了常見的評價指標(biāo)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(guān)合規(guī)的相關(guān)條件,優(yōu)選出適合基金子公司運(yùn)用的相關(guān)合規(guī)性的評價指標(biāo)數(shù)據(jù),從而構(gòu)建出評價體系。第四章,結(jié)合Y基金子公司的實(shí)際經(jīng)營合規(guī)情況對Y基金子公司的具體運(yùn)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(yīng)的對策。本文的分析結(jié)果表明,該公司的運(yùn)作管理沒有超過合規(guī)性范疇,但其二級指標(biāo)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(guān)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(qiáng)從業(yè)人員管理,定期排查;加大合規(guī)監(jiān)督力度,增強(qiáng)合規(guī)意識;制定關(guān)聯(lián)交易制度,建立監(jiān)督機(jī)制;加強(qiáng)后臺運(yùn)營的合規(guī)管理,降低操作風(fēng)險;開展合規(guī)宣導(dǎo),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(jìn)一步設(shè)定出通用標(biāo)準(zhǔn)奠定基礎(chǔ)。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(guān)成果可見,多半都是關(guān)注內(nèi)部控制問題,少有細(xì)化的評價指標(biāo)體系構(gòu)建。本文通過研究設(shè)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(biāo),并運(yùn)用層次分析法確定權(quán)重。為Y基金子公司的整體合規(guī)經(jīng)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(xué)位授予單位】：西北農(nóng)林科技大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：F832.39

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