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投行内控规则出炉

2017-09-11 09:02:42   中国经济网

9月8日,证监会就《证券公司投资银行类业务内部控制指引》(下称《指引》)公开征求意见。《指引》对业务承做实施集中统一管理,要求证券公司建立“三道防线”为主的内部控制体系架构,并制定了统一执业和内部控制标准。

具体来看,《指引》要求证券公司建立“三道防线”为主的内部控制体系架构,并对各道防线和各内部控制职能部门的职责分工和责任边界进行了明确。一是作为内部控制的第一道防线,项目组必须诚实守信、勤勉尽责开展执业活动,履行相关职责;业务部门要履行好人员管理、项目风险管控等一线管理职责。二是作为内部控制的第二道防线,通过设立独立的质量控制部门或团队履行对投资银行类业务风险的过程管控职责,其履职方式主要是通过持续跟踪、文件复核、现场核查等方式对投行类项目承做过程实施动态管理和风险控制,及时发现、纠正和防范项目执行过程中的风险。三是作为内部控制的第三道防线,内核、合规、风险管理等部门代表公司履行对投行类业务风险的整体管控职责,其履职方式主要是通过审核决策、现场检查等方式介入尽职调查、申报后续管理等主要业务环节,把控立项、内核等关键风险节点,对项目进行出口和终端风险控制。

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