银行合规管理是指一个独立的机制,负责识别、评估、提供咨询、监控和报告银行的合规风险。合规风险包括因未遵循各项相关法律、条例、行为准则和良好的执业标准(合称“法律、准则和标准”)导致受到法律和监管条例制裁、财务或声誉损失的风险。
一家银行应该以与自身风险管理战略和组织结构相吻合的方式组织合规部门,并为合规风险管理设定优先考虑的事项。
A bank should organize its compliance function and set priorities for the management of its compliance risk in a way that is consistent with its own risk management strategy and structures.
高级管理层应采取必要的措施,以确保银行可以依赖一个常设的、有效的并符合以下原则的合规部门。
Senior management should take the necessary measures to ensure that the bank can rely on a permanent and effective compliance function that is consistent with the following principles.
第四章提出自己对农业银行合规风险管理体系建设的一些初浅看法。
In Chapter IV, some primary opinions to compliance risk management system of Agricultural Bank were raised.
应用推荐