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The Compliance Risk Management Study of the Rural Financial Institutions

Author: YiLiSha
Tutor: LiQiYun
School: Shandong University
Course: Industrial Engineering
Keywords: rural financial institutions compliance compliance risk management
CLC: F832.35
Type: Master's thesis
Year: 2011
Downloads: 67
Quote: 0
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In recent years, domestic and international research shows that rural finance development has an important role in promoting the rural economy, and as a major agricultural country, the development of agricultural economy of our country is also related to the development of national economy and related to the fundamention of our society’s economic and social development. Rural financial institutions as a vehicle for rural finance development has an increasingly prominent role in rural economic development, and the compliance management of indoor personnel has become an important part of risk management of rural financial institutions.The Basel Committee issued an advanced file "Compliance and the bank’s internal compliance department " in April 2005. The file proposed 10 guiding principles for bank compliance management and the construction of compliance department and has established a standard for the international banking industry compliance management. With respect to the advanced international banks with good compliance management system and continuously improving compliance culture, the commercial banks in our country are still seems to be rather backward in the effective controlling of compliance and management of risk. Especially the development of compliance management of the rural financial, lack of awareness of compliance risk, the system is imperfect, quality of personnel is uneven, the technology of risk control is backward. Since 2007, the global financial crisis triggered by the U.S. subprime mortgage crisis has sounded the alarm for the world’s financial industry. We have to rise the importance of compliance management to domestic commercial banks. Undoubtedly it has great practical significance to conduct the compliance risk management.In this paper, we start from the definition of compliance and compliance risk of the Basel Committee’s and the current situation of the development of rural financial institutions, expounded the background, meaning and objectives of Chinese rural financial institutions indoor personnel of compliance risk management operating processes the listed in recent years China’s financial institutions in risk management, compliance violations typically arise in cases, analysis of China rural financial institutions operating room personnel the status of compliance management processes and problems, and for them to put forward a constructive policy responses, pointed out the direction of development. This study of rural financial institutions, compliance risk management with practical guidance for improvement.This article is divided into five chapters: ChapterⅠ:Introduction. This paper presented the research background and research significance. According to Basel compliance, we described the documents, compliance risk, compliance risk management definition. China’s rural financial institutions themselves in the organizational structure of the problems with the system and the international financial crisis triggered by the revelation and our overall financial openness of domestic financial institutions and many other reasons, to strengthen effective compliance risk management into rural sound operation of financial institutions. This chapter also outlines the main research directions and methods. Chapter Two:China’s rural financial institutions operational status of the compliance management process. This chapter first cited several cases in recent years, the domestic situation of a typical violation of the compliance of financial institutions operating in the case, then studied and concluded that China’s rural financial institutions in compliance faced by the management of compliance risk and the main cause of these risks, the last from rural financial institutions, compliance management laws and regulations, the construction of organizational structure of rural financial institutions, quality of employees and operational processes need to address the deficiencies and problems and other aspects of rural financial institutions in China in the development of compliance management the status quo.ChapterⅢ:China’s rural financial institutions operating Strategies compliance management process. For the situation outlined earlier in this chapter from the following points, i put forward practical coping strategies: 1, the rules and regulations.2, the construction of department and staffing.3, checks and balances mechanisms.4, the quality of personnel training.5, the compliance of the Cultural Environment.6, compliance risk identification, assessment and control of technological innovation.7, the corporate governance structure, management, operational processes, service and financial product innovation.Measures separately from the rules and regulations, organizational structure, staffing, compliance, cultural, technological innovation and other aspects, focused on empirical research, focused on solving the current rural financial institutions, compliance management faced some of the outstanding issues in common with practice application of the reference value.Chapter Four: China’s rural financial institutions, compliance management outlook. This chapter particularly focused on the developed countries and international financial institutions and joint-stock commercial banks of compliance compared the development of points out the operation of rural financial institutions in the process of compliance management deficiencies, and the prospect of a reasonable prospect.Chapter Five:Conclusion..the main content of the research results and significance obtained, The existence in the gaps and to be further explored in depth content.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial organizations, banks > Financial organizations in urban and rural areas
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