Publisher : Almanac of China's Finance and Banking Editorial Board
Published Date : 4/2011
Language : Chinese
ISBN/ISSN : 9787504958839
Weight : 2.60kg
Availability : Usually ship within 48 hours
Book Type : Law
Estimated Shipping Time

Based Management First institutions to manage Chapter 5 institutions to establish management Section sector to set up 5 Summary of compliance risk management Section set up a management agency compliance 8 points Chapter II-18 Change Management Section institutional review compliance risk change management 18 Compliance Section organization change management point of 20 Management agency to terminate a Chapter 27 Termination Section agency compliance risk management review 27 Section II institutions manage compliance end point 29 Managing a Chapter 34 license agency Section agency license compliance risk management review 34 License Compliance Financial Management Section of a 36-point Business License Compliance Management Section 40 points Organization Code Section Management 43 Compliance points Managing a Chapter 46 company registration Company Registration Section Summary of compliance risk management 46 Company Registration Compliance Section II points N.N.. 49 Annual compliance inspection and management of Section 55 points Chapter VI qualifications of directors and management executives of a 58 Section qualifications of directors and senior management of compliance risk management review 58 Section directors and executive officers manage compliance qualifications 59 points Second Corporate Governance Chapter 69 of the basic management of corporate governance Feng Section of Corporate Governance Compliance Risk Summary 69 Compliance Section II the basic elements of corporate governance 72 Chapter II, "three will be" management 90 Section "Three will be" 90 Review of compliance risk management Section II, "three will be" managed 92 points of the basic compliance General Meeting Management Section 93 Compliance points Board of Management Section 106 compliance points Section V points of the board of supervisors manage compliance, 130 Chapter 137 senior management to manage Section Senior Management Review of compliance risk management 137 Senior management Management Section 138 compliance points Chapter 144 securities issuance and trading Manager Section securities issuance and trading Summary of compliance risk management 144 II Securities and Exchange issued 149 compliance points Chapter 179 Related Party Transactions Section compliance risk management related transactions 179 Review Related Party Transactions Management Section 182 compliance points 189 Chapter VI Information Disclosure Section Information Disclosure Review of compliance risk management 189 Information Disclosure Section 193 compliance points Chapter 223 Incentive Management Section incentives Review of compliance risk management 223 Administration of Equity Incentive Section 225 compliance points Compensation Management Section 241 compliance points Third internal control and risk management Chapter 249 of the internal control management Section I Internal Control Review of compliance risk management 249 Basic Internal Control Section 250 compliance points Section III management system of internal control points of 253 homes regulations Fourth major operation and management of internal control compliance issues 263 points Section V compliance of internal control evaluation of 273 points Chapter 277 Compliance Risk Management Summary of Section 277 compliance risk management Section 278 Compliance Risk Management Guidelines Chapter 284 anti-money laundering management Section I Summary of anti-money laundering compliance risk management 284 Anti-Money Laundering Compliance Management Section, 288 points Chapter IV core indicators of risk regulation and the New Basel Capital Accord Implementation 301 Section of core indicators and risk control implementation of the new Capital Accord Compliance Risk Summary 301 Section II core indicators and risk control implementation of the new Capital Accord Compliance 302 points Market Risk Management Chapter 308 Market Risk Management Section Risk Compliance Review 308 Market Risk Management Section 311 compliance points Section III of market risk capital measurement model legislation governing the internal elements 320 Compliance Section bank account interest rate risk management compliance 328 points Chapter VI of credit risk management, 333 Credit Risk Management Section Risk Compliance Review 333 Internal Credit Risk Rating System II compliant 335 points Section III classification of bank accounts exposed to credit risk management compliance points. , 363 Professional Loan IV compliance regulatory capital measurement points 368 Section V measurement of credit risk mitigation regulatory capital compliance 371 points VI Asset Securitization exposure compliance regulatory capital measurement points, 380 Chapter 395 Operational Risk Management Operational Risk Management Section Summary of compliance risk, 395 Operational Risk Management Section 396 compliance points Section III operational risk regulatory capital compliance measurement points 401 Liquidity Risk Management Chapter 405 Liquidity Risk Management Section Risk Compliance Review 405 Liquidity Risk Management Section Compliance 406 points Reputation Risk Management Chapter 421 Section reputation risk, compliance risk management Summary 421 Reputation Risk Management Section 422 compliance points Country Risk Management Chapter 425 Section country risk comprehensive compliance risk management Alex, 425 Country Risk Management Section 426 compliance points Chapter 432 authorization management Section authorized to review compliance risk management 432 Section 434 authorized to manage compliance points Chapter XII 438 Information Technology Management Information Technology Management Section Review 438 compliance risk Information Technology Management Section 440 compliance points Section III silver card system emergency disposal points 470 Compliance Assist in the investigation Executive Management Chapter XIII 476 Section for investigation the Executive Summary of compliance risk management 476 Executive Management Section assist in the investigation of compliance 479 points Security management 491 Chapter XIV Section security review compliance risk management 491 Compliance Section II the basic elements of security 495 Fire Safety Management Section 498 compliance points Fourth place of business and treasury management of security compliance construction permits 505 points Outsourcing Risk Management 507 Chapter XV Outsourcing Risk Management Section Risk Compliance Review 507 Outsourcing Risk Management Section 508 compliance points 513 Chapter XVI internal audit management Internal Audit Section Summary of compliance risk management 513 Internal Audit Management Section 515 compliance points External Audit Management 522 Chapter XVII Section External Audit Review of compliance risk management 522 External Audit Management Section 523 compliance points Part IV self-discipline Chapter 529 provides the basic self-discipline Section of industry self-regulation based on compliance risk management Summary 529 Elements of self-discipline Convention Section 532 compliance Professional Conduct Section 536 compliance points Convention IV employees of ethical conduct 541 compliance points Section V Convention Compliance mobile employees 542 points VI 546 points culture of compliance services Rights compliance requirements in section VII of the Convention 560 Particularity the provisions of Chapter 566 industry self-regulation Section specificity of self-discipline Review of compliance risk management 566 Section II of the Convention against unfair competition compliance points I569 Section undertaking anti-commercial bribery compliance 571 points Section IV compliance of corporate social responsibility guidelines 571 points Life insurance agents self V Convention Compliance 574 points Zi six self-managed business compliance elements of the Convention 576 VII Factoring Convention compliance self 577 points Class operations The life business assets Chapter 585 loan based management Section loans based on compliance risk management Summary 585 Compliance Section II the basic elements of loan business 588 Management of the Borrower Section 590 compliance points Section IV lenders manage compliance 591 points V Loan Program Management Compliance 593 points Section VI Compliance Loan Management Important Points 595 Chapter 599 Credit Management Credit Management Section 599 compliance risk review Credit Management Section 602 compliance points Customer Credit Management Group III elements of 608 compliance Section IV compliance small business credit management 611 points Chapter 620 security management Guarantee Section 620 Review of compliance risk management Compliance Section II the basic elements of security management 622 Assurance Management Section 623 compliance points Mortgage Management Section 627 compliance points Section V points of 632 pledged manage compliance VI lien, manage compliance deposit 634 points Chapter 636 loan classification management Loan Classification Section Review 636 compliance risk management Loan Classification Management Section 637 compliance points Chapter 642 non-performing asset management Non-performing assets Section Summary of compliance risk management 642 Non-performing asset management Section 645 compliance points Bad debt write-off Management Section 656 compliance points Debt Asset Management Section 665 compliance points Non-performing assets V compliance monitoring and evaluation 669 points Chapter 672 Loan Information Management Loan Information Section Summary of compliance risk management 672 Loan Information Management Section 675 compliance points Personal Credit Information Management Section Compliance 679 points S corporate credit business management t Chapter 683 Section corporate compliance risk management of credit business review 683 Section II compliance management of working capital loans 687 points Section III Compliance Fixed Asset Loans 693 points Bridge loan management Compliance Section 708 points Section V points of SME Loans 709 Compliance Section VI compliance syndicated loan management 713 points Pledged Loan Management Compliance Section VII 719 points Auto Loans compliance VIII 724 points IX of the U.S. Export-Import Bank of sovereignty guarantee financing manage compliance points, 727 Section X of the export tax rebate loan management account managed 730 points of compliance Section XI foreign exchange guarantee loans under management of RMB 731 compliance points Chapter VIII of the personal loan business management 733 Section personal loan business Review of compliance risk management 733 Personal Loans Section II the basic elements of 736 compliance Section manage compliance of individual housing loans 741 points Pledged Loan Management Section 747 compliance points V Auto Loans 753 compliance points Personal Loan Compliance Section VI 756 points VII laid-off workers Petty Secured Loans 763 compliance points Title VI liability business Chapter 771 deposit-taking business management Deposits Section 771 compliance risk review Section 78l deposits compliance points Personal Deposits Section 790 compliance points Compliance Unit Deposits Section 805 points Section V compliance notice deposits 843 points Chapter 845 rediscount business management Rediscount business Section 845 compliance risk review Rediscount operations points Section 847 compliance Chapter 859 re-lending business management Section re-lending compliance risk review 859 Section II compliance automatic pledge financing 861 points Compliance Section of emergency loans 865 points Section IV then short-term loans 868 compliance points VII intermediate business Chapter 875 Payment and Settlement business Payment of the settlement business 875 Compliance Risk Summary Section II the basic management of the compliance payment and settlement 892 points III non-cash payment instruments business management compliance 904 points IV administration of electronic payment systems 957 compliance points Domestic Foreign Currency Payment System V compliant business management point ~ 1009 RMB bank settlement account management section VI Compliance 1040 points Chapter 1112 Bank Card Business Section Compliance Risk Bank Card Business Review -1112 Section II of bank card business compliance points. 1116 Chapter of a 1143 electronic banking Section risks of electronic banking compliance review 1143 Section II compliance management e-banking 1145 points Section III compliance of electronic payment services 1158 points Chapter hosting business, "1164 Custody Section 1164 Compliance Risk Summary Section II compliance bond Custody 1177 points III securities investment fund custody business compliance points 1 18l IV Social Security fund custody business compliance points l198 Section V of the insurance fund custody business compliance 1201 points QFII and QDII custodian VI Compliance Management Guidelines 1218 VII Trust custody business compliance 1231 points VIII, a collection of asset management plans Securities Compliance Management of Custody 1236 Corporate pension fund custody business section IX compliance 1240 points Eighth foreign exchange business articles The first chapter of a 1257 exchange business based management Section based on foreign exchange risk management compliance review 1257 Section II the basic provisions of foreign exchange business compliance 1260 points Foreign Exchange Risk Management Compliance Section 1269 points Chapter 127l foreign exchange settlement and payment of business management Section foreign exchange settlement risk and Payment Business Review 1271 compliance Business Management II exchange settlement and payment of basic elements of 1275 Compliance Section frequent exchange settlement and sales operations management project under the 1286 Compliance Points Capital project under section IV of Settlement, Sale and Payment of the compliance elements of business management 1293 Section V of the forward foreign exchange business and RMB business management and foreign currency swaps 1299 compliance points VI profits, dividends, bonus points of export compliance business management, "1305 Section VII points of 1306 exchange settlement and sales and regulatory compliance Chapter Exchange account management thief 1308 Account Management Section Exchange 1308 Summary of compliance risk Section II compliance within the foreign exchange accounts in 1310 points Chapter IV Management of a 1325 foreign exchange trading Section foreign exchange trading risk management compliance review 1325 II self-management of foreign exchange trading compliance points l326 Chapter 1329 Statistical Report Management Section Statistical Summary report 1329 compliance risk management Section II points l333 statistical reporting compliance Chapter VI of a 1362 business management of foreign exchange loans Section foreign exchange loan business Review of 1362 compliance risk Foreign exchange loans Compliance Section 1363 points 1367 Chapter VII Administration of Foreign Currency Section foreign currency risk management compliance review l367 Administration of Foreign Currency Compliance Section 1369 points Section III consignment business in foreign currency travelers checks 1374 compliance points Chapter VIII of the export verification business management .. N. .. N 1377 Section import and export compliance risks to write off business review 1377 Section import verification of compliance points l379 business Section III export business compliance verification points 1388 Chapter IX export to foreign exchange online verification service management. l396 Section export to foreign exchange risks of online verification of compliance review activities, 1396 Section export to foreign exchange business of online verification of compliance points, 1398 Section III export to foreign exchange verification system interconnection points of Emergency Management 1401 Compliance Chapter 1403 Personal Foreign Exchange Business Section I Personal Foreign Exchange Business Review 1403 compliance risk Personal Foreign Exchange Business Section points of 1405 Compliance Section transferred the capital account of foreign exchange sale and payment business personal property compliance points 1415 Chapter foreign exchange business management l418 Section Foreign Exchange Business Review 1418 compliance risk External security management Section 1420 Compliance Points Foreign direct investment in domestic banks III Compliance 1432 points IX of the Integrated Management Chapter 1437 capital adequacy ratio management Section I capital adequacy ratio compliance risk management review l437 Section II capital adequacy ratio of the basic elements of l439 manage compliance Section III Compliance capital adequacy rate of a 1441 points Asset Management Section adequacy of supervision and inspection of compliance points l446 Disclosure of capital adequacy ratio V compliance points l461 Supplementary capital elements of Section VI 1468 Compliance Chapter reserve management l471 Section I reserve the wind eyelid manage compliance review 1471 Section II of the reserve management of the basic elements of 1473 Compliance Section differentiated reserve management compliance 1474 points Statutory reserve IV use of compliance points 1475 Section V compliance reserve assessment 1477 points Chapter of a 1479 inter-bank management Section lending compliance risk management review 1479 Section interbank basic elements of compliance management 1482 Section III Compliance interbank market access points 1483 Section interbank trading and clearing points of 1485 Compliance V lending compliance risk control points 1493 Information disclosure and supervision of interbank VI Compliance 1495 points Chapter 1497 Cash Management Cash Management Section 1497 Compliance Risk Summary Section II the basic cash income and expenditure management elements ... N. 1501 Compliance Section III of cash revenue and expenditure management elements of the specific compliance 1502 Circulation Management Compliance Section RMB points N. ... 1507 V counterfeit collection, identification of compliance 1509 points Section VI damaged or soiled Renminbi manage compliance points l512 Section VII Renminbi manage compliance with 1514 points Cash Payments Statistics VIII manage compliance points l515 Chapter 1518 Price Management Price Management Section Summary l518 compliance risk Section II points l522 interest rate management compliance Service Price Management Compliance Section 1532 points Chapter VI Financial Bonds 1534 Section compliance risk management of financial bonds Summary 1534 Compliance Section II the basic elements of financial bonds, 1538 Section III and approval of applications for issuance of financial bonds Compliance 1540 points Issuance of financial bonds Compliance Section 1543 points Section V compliance of financial bonds and Exchange 1548 points Section VI bonds registration, hosting and payment compliance points 156l Section VII compliance information disclosure of financial bonds 1562 points Chapter VII of the 1569 transaction management derivative financial instruments Section derivative transactions compliance risk management review, 1569 Management of derivative transactions II basic elements of l572 Compliance Section III derivatives trading market access points 1573 Compliance Section IV derivatives risk control points 1575 Compliance Section V derivatives disclosure and supervision combined elements of 1583 ship Chapter VIII of the 1586 financial state-owned assets management State-owned Assets Management Section financial enterprise compliance risk review, 1586 Section II of the basic financial state-owned asset management compliance points 159l Section III of financial state-owned assets property registration points of 1595 Compliance Assessment of state-owned assets fourth quarter financial points of 1607 Compliance Section V of financial compliance state-owned assets transfer 1621 points Postscript 1632