美 英 网络合规部;合规部门;法规部门 英英 网络释义 n. 1. anorganizationwithinacompanythatisresponsibleformakingsurethatitobeyslawsandregulationsrelatingtoitsactivities 例句 更多例句筛选
Compliance Department A department in abrokeragewith the duty of ensuring that alltradescomply with applicable laws andSECregulations. A compliance department oversees employees and principals of the brokerage and monitors theiractivities. It must also investigate suspicious activity and, if necessary, re...
This is done while bearing in mind the various internal departments and external agencies that can impact on, or be impacted on by the procedures adopted. The paper considers the role of the regulator, compliance risk analysis itself and the relationship between the compliance department, other ...
The compliance department of a bank, brokerage, or investment management firm works to ensure that all of the employees and officers comply not only withSecurities and Exchange Commission(SEC) regulations but also Financial Industry Regulatory Authority (FINRA) rules. Training Requirements A position as...
Bank of China set up a leading group comprised of senior management and department chiefs for the implementation of New Capital Accord, and a planning and coordination office to instruct and plan for the implementation of New Capital Accord. Board of Directors approved the gap analysis and general...
合规部门风险管理合规管理Chinese Commercial BanksComplianceComplianceDepartmentRisk ManagementCompliance Management过去的10年是中国银行业高速发展的十年,得益于国内经济... 顾余金 - 苏州大学 被引量: 0发表: 2014年 Bank Asset & Liability Management Banks are a vital part of the global economy, and the ...
A best-practice model for bank compliance Read the article Some banks are also making changes in the organizational structure and placement of the compliance function. A few global banks have moved compliance under the supervision of the risk department, which reinforces the view of complia...
With what I've written above in mind, I'd like you to temporarily abandon your perspective as a senior manager. As you read on, imagine you are me. Whether you look at compliance within a single department or the wider perspective of bankwide operations, you will find that developing a ...
BCG worked with a large EU bank whose regulatory spending already exceeded the competitive benchmark when COVID-19 hit Europe. We optimized the compliance department to avoid further regulatory expenditures, while reducing operational costs and increasing efficiency. By eliminating nonregulatory projects ...
Bank. This involves developing AML/CFT training, working with senior management and stakeholders, providing appropriate training to every employee, and managing and coaching staff in the department; deliver refresher training annually and ensure the employee's responsibility to combat ML/FT is well-...