证券业反洗钱监管的国际经验与启示

International Experience and Lessons on the Enforcement of Anti-Money Laundering in the Securities Sector

文章从四个方面分析了几个发达国家证券业反洗钱监管体系的特点,这些国家在中小金融机构建立反洗钱合规程序、行业自律性组织参与反洗钱监管、建立有针对性的反洗钱培训体系等方面的经验值得我国现阶段证券业反洗钱监管工作借鉴。

The characteristic of anti - money laundering enforcement system in a few developed countries are ana- lyzed from four aspects in the paper. Their experience on anti - money laundering compliance program of small firms, the role of self - regulation organizations in the enforcement and appropriate anti - money laundering training is helpful for our country＇s enforcement.