论文目录 | |
| ACKNOWLEDGEMENTS | 第1-5页 |
| Abstract | 第5-7页 |
| 摘要 | 第7-8页 |
| List of abbreviation | 第8-17页 |
| Chapter Ⅰ Introduction | 第17-21页 |
| 1.1 Background of Thesis | 第17-18页 |
| 1.1.1 Significant | 第18页 |
| 1.2 Research Object | 第18-19页 |
| 1.3 Research Methods | 第19页 |
| 1.4 Research Logical Structure | 第19-21页 |
| Chapter Ⅱ LITERATURE REVIEW | 第21-32页 |
| 2.1 The Review of Internal Control | 第21-24页 |
| 2.1.1 The Concepts of Internal Control | 第21-24页 |
| 2.2 The definition of Commercial Bank’s internal control | 第24-30页 |
| 2.2.1 The intension of commercial bank’s internal control | 第27-29页 |
| 2.2.2 The extension of commercial bank’s internal control | 第29-30页 |
| 2.2.3 The characteristic of commercial bank’s internal control | 第30页 |
| 2.3 The definition of Financial Crime in commercial bank | 第30-31页 |
| 2.4 Deficiencies and Insufficiency of Previous Studies | 第31-32页 |
| Chapter Ⅲ CASE DESCRIPTION | 第32-42页 |
| 3.1 Company Profile of H bank group | 第32页 |
| 3.2 Introduction of business groups | 第32-37页 |
| 3.3 The development in the past decades of H bank group | 第37页 |
| 3.4 Current internal control system of H bank group | 第37-39页 |
| 3.4.1 The characteristic of internal control system and risk managementstructure of H bank group | 第37-39页 |
| 3.5 The leakage cases of H bank’s internal control | 第39-42页 |
| Chapter Ⅳ Case Analysis | 第42-49页 |
| 4.1 Incomplete control environment | 第42-43页 |
| 4.2 Incomprehensive Risk Assessment | 第43-44页 |
| 4.2.1 Incomprehensive risk assessment failures to filter high risk business andcustomers | 第43-44页 |
| 4.3 Inconsistence control environment | 第44-46页 |
| 4.3.1 Branch & Services center use different standers in process, policy andregulatory | 第44-45页 |
| 4.3.2 Different Standards apply to anti-Financial Crime in different countries (regions) | 第45-46页 |
| 4.4 Activities controls failures | 第46-49页 |
| 4.4.1 High operational risk caused by staff’s control issues in service center | 第46-47页 |
| 4.4.2 Poor data management and records management caused customerprivate data leakage | 第47-49页 |
| Chapter Ⅴ Suggestions | 第49-62页 |
| 5.1 Conduct comprehensive risk assessment | 第50-51页 |
| 5.1.1 Conducte Due Diligence for acquisition | 第50-51页 |
| 5.2 Improve Enterprise Risk Management Framework | 第51-57页 |
| 5.2.1 Set up a comprehensive risk assessment structure for managingoperational risk | 第52-55页 |
| 5.2.2 Active Risk Management | 第55-56页 |
| 5.2.3 Create and promote risk culture across the entire groups | 第56-57页 |
| 5.3 Improve activities control for financial crime risk prevention | 第57-62页 |
| 5.3.1 Improve the business data management | 第57-58页 |
| 5.3.2 Improve the group’s records management | 第58-60页 |
| 5.3.3 Apply Risk Lifecycle measurement | 第60-62页 |
| Chapter Ⅵ CONCLUSION AND IMPLICATIONS | 第62-64页 |
| 6.1 Summary of the Research | 第62页 |
| 6.2 Limitation of the Research | 第62-63页 |
| 6.3 Implications of the Research | 第63-64页 |
| REFERENCES | 第64-65页 |
