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Commercial Bank Customer Due Diligence Issues and Strategies

Author: ZhouQinFeng
Tutor: ZhengWei
School: East China University of Political Science
Course: Criminal Law
Keywords: Anti-Money Laundering Law Customer identification Know Your Customer
CLC: D922.28
Type: Master's thesis
Year: 2010
Downloads: 149
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Abstract

Author Co., Ltd. in Taiwan, China Trust Commercial Bank corporate banking career at Credit Risk Management Department Responsibilities whole bank credit policy planning and writing anti-money laundering prevention is the most important work, in addition to internal anti-money laundering policies modifications to standards and anti-money laundering staff training, regulatory authorities from time to time require financial checks letter, focusing mostly concentrated in the anti-money laundering prevention checks, in particular, the enforcement of the customer identification has to meet the requirements of the regulatory authorities is priority. With closer cross-strait financial exchanges, banks begin planning the mainland areas of the sub-line, the author departments to develop a set of prescribed anti-money laundering regime in line with our author services, so I first visited China in April 2006, the banking industry anti-money laundering posts staff to understand the situation of China's anti-money laundering regime, after two months of a learning and understand China's anti-money laundering legislation system of the United States, but even for the most important customers in the anti-money laundering identification specifications of any specific operation, resulting in most The banks can not be implemented; same time, some banks specification customer identification but flawed, deeply pity. Graduate school during the period, the author of \explore remote, even though there is academic discussion only, there is no help on the actual bank work. In addition, I clearly know, the AML work only criminal law theory is not enough, Economic Law also need to provide identification and bank operation standards of practice. Although many theoretical results proposed ways to solve this problem, but I still have innovations on these issues, this thesis, the most important innovation is that the summary of the three major issues of our customer identification, combined with the theoretical basis and practical operation by the author is trying to work in Taiwan banking experience improved countermeasures and suggestions for our client identification. This thesis is divided into a total of four chapters, each chapter is introduced as follows: the first chapter of customer identification. This chapter describes the importance of the \The second chapter of the customer identification provisions of the international and China. This chapter focuses on the provisions of the identification of the customer identification provisions for the international community and China's laws and regulations, try to interpret our customers from the point of view of Comparative Law. The third chapter of the problems of the customer identification. This chapter will encounter customer identification in the actual operation of the banking industry in China, both the bank's internal implementation of customer identification, or the level of supervision and management, or other level in order to state. Chapter countermeasures and suggestions. This chapter for Chapter statement, combined with the theoretical basis and practical operation and by the author is trying to work in Taiwan banking experience improved countermeasures and suggestions for our client identification.

Commercial Bank Customer Due Diligence Issues and Strategies

Abstract

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