發(fā)布時(shí)間：2018-05-27 00:26

  本文選題：大銀行 + 內(nèi)部控制漏洞��； 參考：《上海金融》2013年12期

【摘要】：近年來,國際大銀行因內(nèi)部控制漏洞給國際金融市場(chǎng)和相關(guān)國家?guī)�來巨大的風(fēng)險(xiǎn)和動(dòng)蕩,因此,如何有效監(jiān)管大銀行的內(nèi)部控制漏洞成為全球關(guān)注的重大問題。本文以匯豐銀行為例,探討了銀行內(nèi)部控制漏洞的形成及其危害,并分析了美國等政府的監(jiān)管策略,由此提出相應(yīng)政策建議:我國政府應(yīng)盡快修訂和完善相關(guān)金融監(jiān)管法規(guī),明確銀行內(nèi)部控制漏洞監(jiān)管的指標(biāo),并加大銀行內(nèi)部控制漏洞監(jiān)管的執(zhí)法力度和強(qiáng)化對(duì)金融監(jiān)管部門的問責(zé)機(jī)制,以有效化解大銀行"太大而不能倒"的風(fēng)險(xiǎn),促進(jìn)我國金融市場(chǎng)健康穩(wěn)定運(yùn)行。
[Abstract]:In recent years, the large international banks have brought huge risks and turbulence to the international financial markets and related countries because of the internal control loopholes. Therefore, how to effectively supervise the internal control loopholes of large banks has become a major issue of global concern. Taking HSBC Bank as an example, this paper discusses the formation and harm of internal control loopholes in banks, and analyzes the regulatory strategies of governments such as the United States, and puts forward corresponding policy recommendations: our government should amend and improve relevant financial supervision regulations as soon as possible. Make clear the index of internal control loophole supervision of banks, strengthen the enforcement of internal control loopholes supervision and strengthen the accountability mechanism to the financial supervision department, so as to effectively resolve the risk of "too big to fail" in large banks. Promoting the healthy and stable operation of China's financial market.
【作者單位】： 上海大學(xué)管理學(xué)院;
【分類號(hào)】：F831.2;F830.42

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