404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
四是强调投行类业务内部控制的有效性,细化各道防线具体履职形式,加强对投行类业务立项、质量控制、内核等执行层面的规范和指导,从内部控制人员配备,立项和内核等会议人员构成和比例、表决机制,现场核查等方面提出具体要求,解决实践中“走过场”、“有名无实”等问题。
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。
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
相关阅读
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
加载更多>>
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China
404 Not Found
404 Not Found
Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!
URL: |
http://3g.china.com:8080/act/news/11155042/20170909/31332930_2.html |
Server: |
cms-8-251 |
Date: |
2024/12/02 07:00:50 |
Powered by China
China