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1、RiskManagementand RegulatoryCompliance風(fēng)險(xiǎn)管理與合規(guī)AsiaPacificFinanceandDevelopmentCenter亞太財(cái)經(jīng)與發(fā)展中心WorldBankInstitute世界銀行學(xué)院AlexVanderpolJune19,2008Complianceadvisesoncompliancerisk合規(guī)對(duì)合規(guī)風(fēng)險(xiǎn)提出建議Complianceriskistheriskof:legalorregulatorysanctions,materialfinancialloss,orharmtorep
2、utationthatabankmaysufferasaresultofitsfailuretocomplywithrelevantlaws,regulations,principlesandrules,standardsandcodesofconductapplicabletoitsactivities,inletterandinspirit.合規(guī)風(fēng)險(xiǎn)是指，由于未遵照適用于公司活動(dòng)的相關(guān)法律、法規(guī)、原則、法則、行為規(guī)范與準(zhǔn)則，公司可能會(huì)遭受法律或法規(guī)的制裁，物質(zhì)上的財(cái)務(wù)損失，或者使聲譽(yù)受損的風(fēng)險(xiǎn)。Provideadvisoryand
3、objectivesupport提供咨詢(xún)和客觀(guān)支持Alignwiththebusinessandhelpprovideindependentviewandadviceontheexecutionofstrategyandoncase-specificissues根據(jù)公司業(yè)務(wù)，提供有關(guān)戰(zhàn)略執(zhí)行和具體案例方面的獨(dú)立觀(guān)點(diǎn)和建議Understandstrategyandbusinessandapplythisunderstandinginitsrisk-basedapproachtoensurethatproportionatemeasure
4、saretakentocomplianceissuesandrisk理解公司戰(zhàn)略和業(yè)務(wù)，并將這一理解應(yīng)用于基于風(fēng)險(xiǎn)的方法，以此確保對(duì)合規(guī)問(wèn)題和合規(guī)風(fēng)險(xiǎn)已采取了適當(dāng)?shù)拇胧㊣mplementbusinessspecificlawsandregulations實(shí)施與業(yè)務(wù)相關(guān)的法律法規(guī)Provideguidanceandsupportonissuesrelatedtolawsandregulations對(duì)與法律法規(guī)相關(guān)的問(wèn)題提供指導(dǎo)與支持Monitortheexecutionofinitiativesandensureallactivitie
5、sarecompliantwithrelevantpoliciesandprocedures監(jiān)控倡議的執(zhí)行情況，確保所有活動(dòng)都遵照相關(guān)政策和程序Assistmanagementinmanagingrisktothebusiness協(xié)助管理層管理業(yè)務(wù)風(fēng)險(xiǎn)AssistManagementinidentifying,measuringandmitigatingcompliancerelatedrisk協(xié)助管理層發(fā)現(xiàn)、測(cè)量并減少合規(guī)風(fēng)險(xiǎn)Partnerwiththebusinessinmonitoringlevelofriskstohelpac
6、hievesuccessfulimplementationofstrategicinitiatives和業(yè)務(wù)一起監(jiān)控風(fēng)險(xiǎn)水平，幫助公司成功實(shí)施戰(zhàn)略倡議Complianceprovidesacentralroleinmonitoringdeliveryandminimisingrisk合規(guī)在監(jiān)控公司行為和使風(fēng)險(xiǎn)最小化上扮演著重要作用Businessisfirstlyresponsible業(yè)務(wù)部應(yīng)負(fù)首要責(zé)任Complianceisintendedforsupport合規(guī)意在為公司運(yùn)營(yíng)提供支持WhoisresponsibleforCompl
7、iance誰(shuí)該負(fù)責(zé)合規(guī)工作？KeyComplianceAreas:關(guān)鍵的合規(guī)領(lǐng)域：III.MarketConduct市場(chǎng)行為I.ClientAcceptanceandAnti-MoneyLaunderingPolicy客戶(hù)接受度與反洗錢(qián)政策(CAAML)II.DealingwithCustomers與客戶(hù)打交道ClientAcceptanceandAnti-MoneyLaundering客戶(hù)接受度與反洗錢(qián)Sanctions制裁ConflictsofInterest利益沖突ChineseWalls中國(guó)墻MarketAbuse市場(chǎng)濫用IV
8、.OtherCompliancetopics其他合規(guī)話(huà)題PersonalAccountDealingPolicy個(gè)人賬戶(hù)處理政策GiftPolicy/BriberyandCorruption送禮政策/賄賂與腐敗Whist
