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风控与内控

合规细则下月升级 券商投行直面最强内控组合拳

来源:启翔控股 时间:2017-10-30 18:08:10

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亚博足彩《NEIKONGZHIYIN》DUITOUXINGNEIKONGZHIDUZUOCHULEMINGQUEDEGUIDING,YAOQIUZHENGQUANGONGSIYINGDANGJIANLIJIANQUANTOUXINGLEIYEWUZHIDUTIXI,BINGSHOUCITICHU“SANDAOFANGXIAN”DEGAINIAN。JIDIYIFANGXIANSHIXIANGMUZU、DIERFANGXIANSHIDULIDEZHILIANGKONGZHIBUMEN、DISANDAOFANGXIANSHINEIKONGHEGUIHEFENGKONGBUMEN,GOUJIANFENGONGHELI、QUANZEMINGQUE、XIANGHUZHIHENG、YOUXIAOJIANDUDETOUXINGLEIYEWUNEIBUKONGZHITIXI。BINGGUIDING“CONGSHITOUXINGLEIYEWUZHILIANGKONGZHI、NEIHE、HEGUI、FENGXIANGUANLIDENGNEIBUKONGZHIGONGZUODERENYUANSHULIANGBUDEDIYUTOUXINGLEIYEWURENYUANZONGSHUDE1/10。”

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XINCHOUJIZHIDABIANDONG

DUOWEISHOUFANGQUANSHANGRENSHIRENWEI,HEGUIGUANLIBANFAHENEIKONGZHIYINHUISHIDEDAXINGQUANSHANGDEYOUSHIJIXUTUXIAN。

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亚博足彩QIZHONG,“BUDECAIQUTOUXINGYEWUTUANDUIANBILIZHIJIEXIANGYOUQICHENGZUOXIANGMUSHOURUDEXINCHOUJIZHI”,ZHEIDUICIQIANFENPEIJIZHILINGHUODEXIAOQUANSHANGYINGXIANGJIAODA。GUOTAIJUNANYIWEITOUXINGRENSHIDUISHIDAIZHOUBAOJIZHEBIAOSHI:“NEIKONGZHIYINDUIXIAOQUANSHANGDECHONGJIHAISHIBIJIAODADE,YINWEIFENPEIJIZHIJUEDINGLEGANYEWUDEMOSHI,YIXIEXIAOTOUXINGSHENZHITUANDUINA70%。”

亚博足彩CIWAI,“JIANGJINDIYANZHIFUJIZHI”TONGYANGCHONGJIXIAOQUANSHANG,XINSHIDAIZHENGQUANYIWEITOUXINGRENSHIDUISHIDAIZHOUBAOJIZHERENWEI,“DAZHONGXINGQUANSHANGJIHUDOUYIJINGCAIQUJIANGJINDIYANDECUOSHI,ERXIAOQUANSHANGYOUYUYAOKAOJILIXIYINRENCAI,YIXIEJIJINDEQUANSHANGJIANGJINHENDUOSHIBUDIYANHUOZHEDIYANHENSHAODE”。

JIANGUANCENGRENWEI,YOUXIEJIGOUJICHUHEGUIZHIDUBUGOUJIANQUAN,BUFENYEWUSHIJISHANGSHIDULIWANGGUO。MUQIANTOUXINGFENGKONGBEIYAOQIUNARUGONGSIFENGKONGTIXINEI,QIANGDIAOZHENGTIYUBUMENFENGKONGZHIJIANGUANXI,YAOYOUSHANGZHIXIAQIANGHUADUITOUXINGFENGKONGDEZHONGSHI。

亚博足彩WEILAIZAIXINGUIXIA,JINRONGJIGOUJIANGGENGDUODIHUIGUIBENYUAN。9YUE14RI,ZHENGJIANHUIFUZHUXIJIANGYANGZAIBEIJINGCBDGUOJIJINRONGYUANZHUOLUNTANZHICIZHONGYETIDAO,YAODUCUZHENGQUANJIJINQIHUODENGXINGYEJIGOUHUIGUIBENYUAN,ZHUANZHUZHUYE,NIUZHUANBUGUFENGXIANGUODUZHUIQIUGUIMOHELIRUNDEQINGXIANG,SHITOUZIYINXINGZHENZHENGCHENGWEILIANJIESHITIQIYEHETOUZIZHEDENIUDAI,RANGQIHUOGONGSIZHENZHENGWEISHITIQIYEANPAISHENGCHANJINGYINGFAHUIYINDAOZUOYONG,JIANJUEFANGZHI“TUOSHIXIANGXU”“YIQIANCHAOQIAN”。


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