本文選題：華泰證券股份有限公司 + 反洗錢�。� 參考：《山東大學(xué)》2013年碩士論文

【摘要】：近年來,證券行業(yè)洗錢活動(dòng)十分頻繁,嚴(yán)重影響了我國(guó)證券交易活動(dòng)的進(jìn)行,加強(qiáng)證券行業(yè)反洗錢制度建設(shè),是有效打擊洗錢活動(dòng)的重要制度保障,論文選取了華泰證券股份有限公司為例,針對(duì)當(dāng)前華泰證券股份有限公司的內(nèi)部控制制度的不足,對(duì)華泰證券股份有限公司的內(nèi)部控制制度重新優(yōu)化設(shè)計(jì),同時(shí)對(duì)證券行業(yè)加強(qiáng)反洗錢工作提出經(jīng)驗(yàn)和啟示,研究具有十分重要的理論和現(xiàn)實(shí)意義。 本文在研究過程中主要運(yùn)用了文獻(xiàn)搜集法、理論研究法、調(diào)查研究和案例分析法,研究的重點(diǎn)：一是探索華泰證券股份有限公司反洗錢工作經(jīng)驗(yàn)和成效,表現(xiàn)為：積極組織反洗錢宣傳月活動(dòng),加強(qiáng)反洗錢培訓(xùn),加強(qiáng)客戶身份識(shí)別工作,嚴(yán)格執(zhí)行公司客戶檔案相關(guān)管理規(guī)定,保管客戶資料,根據(jù)中國(guó)人民銀行《金融機(jī)構(gòu)大額交易和可疑交易報(bào)告管理辦法》及其配套規(guī)定,履行報(bào)告義務(wù)。二是指出華泰證券股份有限公司反洗錢制度不足,表現(xiàn)為：反洗錢宣傳工作存在不足,反洗錢專業(yè)化人才培養(yǎng)存在不足,可疑交易標(biāo)準(zhǔn)不完善,信息報(bào)送支付不規(guī)范,反洗錢現(xiàn)場(chǎng)檢查效率低且針對(duì)性不強(qiáng),反洗錢交易系統(tǒng)建設(shè)在反洗錢預(yù)防和控制上存在不足。針對(duì)華泰證券股份有限公司反洗錢制度不足,本文得出重要研究結(jié)論：必須加強(qiáng)對(duì)華泰證券股份有限公司反洗錢內(nèi)部控制制度優(yōu)化設(shè)計(jì),實(shí)施步驟是首先從四個(gè)方面對(duì)華泰證券股份有限公司的反洗錢內(nèi)部控制制度結(jié)構(gòu)進(jìn)行構(gòu)建,包含“了解你的客戶”、可疑交易的識(shí)別和報(bào)告、特殊賬戶活動(dòng)的監(jiān)控、內(nèi)部控制程序；然后針對(duì)這四個(gè)方面,對(duì)華泰證券股份有限公司反洗錢內(nèi)部控制制度進(jìn)行優(yōu)化設(shè)計(jì)。文章最后研究得出了證券行業(yè)加強(qiáng)反洗錢工作的配套措施,加強(qiáng)證券行業(yè)反洗錢專業(yè)復(fù)合型人才建設(shè),加強(qiáng)證券行業(yè)反洗錢培訓(xùn)和宣傳,加大科技投入,提高工作效率,強(qiáng)化反洗錢內(nèi)控機(jī)制建設(shè),建立激勵(lì)機(jī)制,加大對(duì)“積極反洗錢”金融機(jī)構(gòu)的激勵(lì)。
[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.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.51

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