高级管理人员任职考试资料.xlsVIP

Sheet1 公共题库（17件）General Questions G1 G2 G3 G4 G5 G6 G7 G8 G9 G10 G11 G12 G13 G14 G15 G16 《上海中资银行业金融机构案件防控工作考评办法》* Not Applicable for Foreign Banks * G17 专业题库（23件）Specialized Questions Z1 Z2 Z3 Z4 Z5 Z6 Z7 Z8 Z9 Z10 Z11 Z12 Z13 Z14 Z15 Z16 Z17 Z18 Z19 Z20 ZZ1 ZY1 ZW1 《中国人民银行法》Law of the People’s Republic of China on the People’s Bank of China 《反洗钱法》Law of the People’s Republic of China on Anti-money Laundering 《担保法》The Guarantee Law of the Peoples Republic of China 《物权法》（第四编 担保物权部分）Real Right Law of the Peoples Republic of China 《票据法》Negotiable Instruments Law of the People’Republic of China (2004 Revision) 《刑法》及其修正案（金融犯罪部分）Criminal Law of the People’s Republic of China and Amendment 《人民币管理条例》Regulation of the People’s Republic of China on the Administration of Renminbi 《金融违法行为处罚办法》* Chinese Version Only * 《金融许可证管理办法》Measures for the Administration of Financial Licenses 《银行业监管统计管理暂行办法》Interim Measures for the Administration of the Banking Supervisory Statistics 《银行业金融机构从业人员职业操守指引》Guidance on the Professional Conduct of Practitioners of Banking Financial Institutions 《商业银行信息科技风险管理指引》Guidelines on the Information Technology Risk Management of Commercial Banks 《银行业金融机构内部审计指引》Guidelines on Internal Audit for Banking Financial Institutions 《关于银行业金融机构自查发现案件责任追究实行区别对待政策有关问题的通知》* Chinese Version Only * 《银行业金融机构安全评估办法》Measures for Safety Evaluation of Banking Financial Institutions 《商业银行法》Law of the People’s Republic of China on Commercial Banks 《商业银行内部控制指引》Guidelines for Internal Control of Commercial Banks 《商业银行金融创新指引》Guidelines for the Financial Innovation of Commercial Banks 《商业银行合规风险管理指引》Guidelines for the Compliance Risk Management of Commercial Banks 《商业银行操作风险管理指引》Guidelines on the Operational Risk Management of Commercial Banks 《商业银行授信工作尽职指引》Guidelines on Due Diligence in the Credit Extension Work of Commercial Banks 《商业银行小企业授信工作尽职指引（试行）》Guidelines on Commercial Banks’ Due Diligence in the Credit Granting to Small Enterprises (for Trial Implementation) 《贷款风险分类指引》Guida