Dissertation > Excellent graduate degree dissertation topics show

The Research on Category Supervision of Anti-money Laundering by Risk-based Approach

Author: WuSuLin
Tutor: YangShengGang
School: Hunan University
Course: Finance
Keywords: Anti-Money Laundering Classification regulation Risk assessment Analytic Hierarchy Process
CLC: F832.2
Type: Master's thesis
Year: 2010
Downloads: 134
Quote: 1
Read: Download Dissertation

Abstract

The importance of preventing and combating money laundering has been generally recognized by the world and international organizations. China as the largest developing country in the world, with the development of the financial markets and the expansion of opening up to the outside world, to prevent and combat money laundering crime situation increasingly grim. Financial institutions as found money laundering and the prevention of money-laundering offenses, which play a role in the anti-money laundering system is also becoming increasingly important. How to guide financial institutions to be more proactive and diligent implementation of anti-money laundering obligations, and to detect money-laundering transaction behavior, to raise its own money-laundering risk prevention capacity, became the core target of anti-money laundering regulatory departments to implement anti-money laundering supervision of financial institutions. The current anti-money laundering supervision of China's financial industry is now from the early learning, exploration, innovation and adjustment phase to full depth of the stage of development of the strategic turning point. Summarize the recent years, the development of anti-money laundering regulatory practice, learn from advanced international experience, exploration is of great significance to establish the AML regulatory mechanisms in line with China's national conditions. The status and trends of domestic and international anti-money laundering regulatory analysis, pointed out the contradictions of the reality of China's anti-money laundering supervision, expounded the necessity and practical significance of the classification regulation in our country to establish risk-based anti-money laundering, and the design of The financial industry risk-based classification of anti-money laundering regulatory framework. First, the introduction of a general theory of the anti-money laundering regulation, including the basic theory of the concept of anti-money laundering regulatory objectives and implementation of anti-money laundering regulation, and from information asymmetry and the theory of public goods, control cost theory, incentive compatible regulatory theory, The theory of corporate governance and management theory point of view of the anti-money laundering regulatory utility, and from a cost-effective and economic theory, game theory point of view of the anti-money laundering regulatory analysis. Secondly, the paper analyzes the current domestic and international anti-money laundering regulatory overview and situation. Comprehensive regulatory and risk-based classification rules based regulatory approach, pointing out that the trend of the current anti-money laundering regulatory changes to the risk-based way. The article elaborated on the status quo of China's anti-money laundering regulation, including regulatory basis for the target, the regulatory body, regulatory methods, evaluation of China's anti-money laundering supervision given a detailed analysis of the contradictions of China's anti-money laundering supervision reality . The core part of this paper is based on analysis of domestic and international anti-money laundering regulation, proposed the need for supervision of the implementation of the risk-based classification of anti-money laundering, and the use of the analytic hierarchy process to design a risk-based classification of anti-money laundering regulatory framework. Compare grading classification regulatory framework in the design, according to the results of the risk assessment, the ability of financial institutions to respond to the risk of money laundering, and implementation of different regulatory measures in accordance with the different levels. Established a complete set of risk assessment indicators, including total regional economic and financial indicators, regional risk control capacity indicators, product and service class risk indicators and compliance risk indicators. Single financial institution risk assessment can be assigned to various indicators, the comprehensive quantitative evaluation of the results of the Analytic Hierarchy Process, to provide a fundamental basis for risk classification and the classification regulation.

Related Dissertations

CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Banking system and business
© 2012 www.DissertationTopic.Net Mobile