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A Study on the Related-party Transaction and Its Supervision of Commercial Bank

Author: XiangYun
Tutor: HuangXian
School: Wuhan University
Course: Finance
Keywords: Commercial bank Related Party Transactions Regulatory
CLC: F832.2
Type: Master's thesis
Year: 2005
Downloads: 310
Quote: 1
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Abstract


April 2, 2004 issued by commercial banks and internal and shareholders associated with the transaction management approach \However, for the way to the introduction of the implication of the theoretical and practical background, rarely seen. In view of the practical significance of the research in this area, preliminary studies related party transactions of commercial banks and its regulatory issues. The thesis is divided into four chapters on the nature of the related party transactions, the mechanism and impact of the commercial banks to non-fair related party transactions, the commercial banks in China related transactions, connected transactions of commercial banks regulatory issues are discussed. The first chapter analyzes the content and nature of the related party transactions. Related party transactions is the matter of transfer of resources or obligations between related parties, been widely used in the the multinational parent - subsidiary corporations and branch system, is a neutral market behavior, both positive and negative effects. When related party transactions malicious related parties tend to produce non-fair related party transactions. In chapter two non-fair related to the commercial banks arising from transactions and interested parties are discussed. In the analysis of non-fair related transactions of commercial banks, mainly from commercial banks ownership structure and governance model, transaction transparency and external competitive environment aspects to start discussion, pointed out that the related transactions of commercial banks opaque, limited liability companies the inherent weaknesses of the system, the lack of serious defects of the internal control mechanisms of the commercial banks and the market environment of fair competition is an important factor in prompting commercial banks to non-fair related. This chapter Section II analyzes the non-fair related party transactions of commercial banks commercial banks, bank controlling party and minority shareholders, bank customers and depositors, as well as the entire financial system and other stakeholders. Next, the related party transactions of commercial banks in China were analyzed in the third chapter of the thesis, the specific divided into two parts: the first part of the annual report in accordance with the five listed banks were analyzed its related party transactions disclosure of information and the size of the transaction; The second part of the use of a case study of China's city commercial banks related party transactions. From the theoretical analysis and inspection of the actual situation, the related party transactions of commercial banks be risky case of serious deficiencies in internal control mechanism in the commercial banks, the external agency regulation of related party transactions of commercial banks is very important. Therefore, the last chapter on regulatory issues related party transactions of commercial banks were analyzed. Made a number of recommendations on the basis of the relevant laws and regulations and measures of the regulation of the U.S. financial authorities, supervision of commercial banks in China related transactions.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Banking system and business
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