合规是指商业银行的经营活动与法律、规则和准则相一致。 从巴塞尔银行监管委员会关于合规风险的界定来看,银行的合规特指遵守法律、法规、监管规则或标准。
n. compliance
预计会有大量的“倒向”发生。 合规(COMPLIANCE):金融服务业使用这个词语很久了,用来标榜甘心接受其交易业务所受到的各种限制以及更高的资本标准。
基于956个网页-相关网页
合规培训 compliance trainings ; compliance training
合规文化 Compliance culture
合规岗位 compliance posts
合规监测 compliance monitoring
合规政策 compliance policies
岗位合规手册 post compliance manual
合规管理部门 compliance department
日常的合规自查 self-inspections on compliance as a routine task
半年度合规报告 the semi-annual compliance report of the company
Basing on the traditional audit compliance, China’s government began to explore the performance of the audit.
我国政府审计在传统合规性审计的基础上,开始探索财政资金绩效审计。
参考来源 - 我国财政资金绩效审计研究It shows a clear way of banking supervision that bank takes risk and manages them,supervisory authority reviews the compliance and suitability of risk management in bank,and take necessary measures accordingly based on risk assessment.
巴塞尔新资本协议所体现的监管思路十分清晰,银行承担和管理风险,监管当局监督和检查银行风险管理的合规性与适当性,在现场和非现场检查的基础上对银行的风险管理能力和资本充足程度进行评估,根据评估结果采取纠正行动。
参考来源 - 巴塞尔新资本协议引领下的银行监管创新(研究生论文)·2,447,543篇论文数据,部分数据来源于NoteExpress
事实上,如果管理层采用新的精益和绿色管理模式,超越合规性可以在产生现金的同时节约成本。
In fact, going beyond compliance saves cost at the same time that it generates cash, provided that management adopts the new lean and green model.
该委员会的合规,检查和调查办公室计划加强其股票分析师的安全性,以调查研究是否是经纪公司的独立职能。
The commission's office of compliance, inspection, and investigations plans to intensify its security of stock analysts to investigate whether research is an independent function at brokerage firms.
新规定给仍在使用老式工业燃煤燃烧器的公司带来了巨大的合规成本。
New regulations have imposed extensive compliance costs on companies still using older industrial coal-fired burners.
In the 1920s, a lot of bogus stuff was sold -a lot of people were cheated -so after the stock market crash of 1929, it led to a movement for regulation.
在上世纪20年代,很多不合规的股票流入市场,很多人受骗,所以1929年的股市大崩盘,促使政府采取了一系列加强金融监管的行动
应用推荐