英国金融制裁监管体制及执法特点研究--以渣打银行亿元罚单为切入

Research on UK Financial Sanction Supervision System and Key Law Enforcement——Take Standard Chartered Bank's 100 million yuan fi ne as an entry point

英国作为全球金融中心,建立起自身的金融制裁监管体制,本文以3月渣打银行的千万英镑罚单为切入,分析英国金融监管体制及执法特点,本文认为该罚单典型反映了英国金融制裁执法特色的整体性评估方法。本文通过对英国制裁执法概率平衡方法进行解析,以求对我国商业银行特别是中资银行海外经营加强制裁合规管理提供建议。

As a global fi nancial center,the United Kingdom has established its own fi nancial sanctions supervision system.This article uses the Standard Chartered Bank’s tens of millions of pounds in March as an entry point to analyze the UK’s fi nancial supervision system and enforcement characteristics.This paper believes that the fi nes typically reflect the characteristics of British financial sanctions enforcement Holistic assessment method.This article analyzes the probabilistic balance method of UK sanctions enforcement,in order to provide suggestions for my country’s commercial banks,especially Chinese banks,to strengthen sanctions compliance management.