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1、蘇州大學碩士學位論文論我國商業(yè)銀行合規(guī)風險監(jiān)管的完善姓名：湯正炎申請學位級別：碩士專業(yè)：法律·國際經濟法指導教師：韓龍20071001論我國商業(yè)銀行合規(guī)風險監(jiān)管的完善中文提要金融業(yè)是現(xiàn)代經濟的核心，因此金融業(yè)歷來是受到最嚴厲監(jiān)管的行業(yè)?，F(xiàn)代金融監(jiān)管是由內部監(jiān)管和外部監(jiān)管共同構成的體系。商業(yè)銀行內部控制是現(xiàn)代金融監(jiān)管體系的重要組成部分。隨著金融業(yè)的發(fā)展，商業(yè)銀行內部控制在現(xiàn)代金融監(jiān)管體系中的地位越來越重要。合規(guī)風險監(jiān)管是現(xiàn)代金融監(jiān)管的重要組成部分。合規(guī)風險監(jiān)管同樣可分為內部合規(guī)風險監(jiān)管和外部合規(guī)風險監(jiān)管。內部合規(guī)風險監(jiān)管是商業(yè)銀行內部控制的重要組成部分。分析
2、我國商業(yè)銀行內部合規(guī)風險監(jiān)管和外部合規(guī)風險監(jiān)管存在的主要問題，有利于我國商業(yè)銀行合規(guī)風險監(jiān)管的完善。完善我國商業(yè)銀行內部合規(guī)風險監(jiān)管的措施主要有：建立有效的合規(guī)風險監(jiān)管架構體系、評價和糾正體系和科學的合規(guī)文化，通過業(yè)務流程再造強化合規(guī)管理，提高合規(guī)風險管理的技術含量等。完善我國商業(yè)銀行外部合規(guī)風險監(jiān)管法規(guī)體系的措施主要有：協(xié)調現(xiàn)有監(jiān)管法規(guī)體系的內部關系、加強對合規(guī)風險監(jiān)管法規(guī)的立法研究等。關鍵詞：金融監(jiān)管、合規(guī)風險、內部控制作者：湯正炎指導老師：韓龍ResearchOilthePerfectionofSupervisionontheChinCSCComme
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