防范操作风险的十三条（Thirteen precautions against operational risk）.docVIP

防范操作风险的十三条（Thirteen precautions against operational risk） The thirteen articles formulated by the China Banking Regulatory Commission to prevent operational risks are as follows: Notice on increasing efforts to prevent operational risks -------------------------------- All policy banks, state-owned commercial banks, joint-stock commercial banks and banking regulatory bureaus: At present, the recognition and control ability of banking institutions on operational risk can not meet the needs of business development. Some banks because the system is not perfect, or on the implementation of the system, the lack of effective supervision, inadequate investigation for non implementation of regulations, risk management and internal control is weak, major cases occurred frequently, causing the bank a lot of money loss. To this end, the banking institutions must intensify their efforts to further take measures to effectively prevent and control operational risks. The banking regulatory bureaus should pay close attention to the operational risks of banking financial institutions and earnestly monitor and inspect the circular at the grassroots level. I. attach great importance to the construction of rules and regulations to guard against operational risks. If there is no chapter to abide by or have rules and regulations, but it is no longer suitable for the current business development and the actual management of the basic level, the superior party shall carry out special studies to formulate or revise in time. For the basic line and the relevant departments on the construction of rules and regulations, the head office should seriously study and solve in a timely manner, shall not delay. For those who do not follow the chapter, they should remove the responsible person from the original post and deal with it seriously. Two, strengthen audit construction. We should constantly improve the audit system, strengthen the audit force, strengthen the training of the audit team, and imp