RiskManagementandRegulatoryCompliance风险管理与合.pptVIP

Risk Management and Regulatory Compliance风险管理与合规Asia Pacific Finance and Development Center亚太财经与发展中心 World Bank Institute世界银行学院 Alex Vanderpol June 19, 2008 Compliance advises on compliance risk 合规对合规风险提出建议 Key Compliance Areas:关键的合规领域： Know Your Customer:了解你的客户： Customer Identification allows the bank to have confidence in the integrity of the persons with whom they transact business 客户鉴别使得银行能相信与他们进行交易的人的诚信度 Requires employees to obtain information identifying their customers 要求员工获取鉴别客户的信息 Requires employees to verify that customers are who they say they are 要求员工核实客户资料的可靠度 Th