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Research on the Commercial Bank Audit Risk Analysis and Control under the Data-based Audit Model

Author: FangTao
Tutor: YaoXiaoYi
School: Hunan University
Course: Finance
Keywords: Audit model Data audits Electronic data banks Audit risk Audit analysis model
CLC: F239.6
Type: Master's thesis
Year: 2008
Downloads: 401
Quote: 1
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Abstract


Commercial banks in the world's financial risk audit regulatory activity plays an important role, it is with the financial regulations and supervision of financial regulatory authorities , commercial banks' internal control together constitute a large national bank regulatory system. According to the audit objectives and audit methods used , commercial banks experienced accounts audit model based audit , system-based audit , risk-based audit three stages of development. China's commercial banks audit has twenty years of development history, government audit based, is currently in the system-based audit and risk-based audit transitional phase. Development of financial globalization and universal banking , especially computer technology widely used in the banking industry , to commercial banks traditional audit model posed a challenge to the traditional audit methods and models have been unable to meet the new audit requirements , meet the information trends in innovative business models applied to audit Bank audit practice , has a very important theoretical and practical significance . Therefore, this paper explores the context of information technology innovation and new commercial bank audit mode and the mode of audit risk analysis and control studies , the data type for conducting audits and controls provide the basis for audit risk . The first two chapters paper compares Chinese and Western Commercial Bank audit model and the development process, according to the bank information technology, electronic and trend of rapid development of massive data , first proposed commercial bank data audit on the new concept , which is the first time in the country , demonstrates the data type audit model is currently the best commercial bank audit model ; Chapter audit model of commercial banks analyzed the content and features , and how the data type in commercial banks to carry out the audit mode audits described ; fourth chapter analyzes data type mode content and audit risk factors , the establishment of commercial banks, the data type audit evaluation index system , and uses AHP and fuzzy mathematics are two ways to obtain comprehensive evaluation indicators quantify the value , to be more precise quantitative risk value ( risk level ) for how to conduct commercial banking data type under audit and control of the audit risk model provides an important basis ; fifth chapter discusses audit risk management and control methods and strategies .

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CLC: > Economic > Economic planning and management > Audit > Professional audit
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