开展银行合规管理工作的几点思考

Some Viewpoints about the Banking Compliance Management

美国的次贷危机引发的全球金融危机,其原因是多方面的,最主要的是美国新自由主义自由放任的政策主张,过度发展虚拟经济、金融衍生品泛滥和监管缺失,导致资本的贪婪、华尔街的道德风险,最终引发危机。危机说明了银行监管的重要性,同时更加说明了银行自身经营管理过程中加强合规管理显得尤为重要。本文结合建设银行的合规工作实践,分析银行合规管理工作存在的问题,并对应用科学发展观指导银行开展合规管理工作提出解决意见。

The American subprime crisis stresses the importance of the banking supervision,and during the banking self-management,the compliance management is specially important.This article takes CCB as example to analyze the problems in the banking self-management.Meanwhile,it also gives some advices on the work of compliance management with the guidance of the scientific concept.