The Laws and Regulations of Bank Internal Control and Audit
- 系列名:金融測驗系列
- ISBN13:9789863990093
- 出版社:台灣金融研訓院
- 作者:臺灣金融研訓院編輯委員會
- 裝訂/頁數:平裝/396頁
- 版次:三版
- 出版日:2015/02/01
商品簡介
Banks are businesses that deal in the giving and receiving of credit. Their credibility is hard to build up yet can be ruined in a trice. Their survival and development must, of course, depend on the continuous growth of their business in pursuit of creating profit. But if neglect of internal control results in malpractice and depletion of assets, the fruit of all their effort will be reduced to nothing all at once.
目次
2. Financial Holding Company Act
3. Implementation Rules of Internal Audit and Internal Control System of Financial Holding Companies and Banking Industries
4. Regulations Governing the Procedures for Banking Institutions to Evaluate Assets and Deal with Non-performing/Non-accrual Loans
5. Regulations Governing the Security Maintenance and Administration of Financial Institutions
6. Regulations Governing Bank Handling of Accounts with Suspicious or Unusual Transactions
7. Governing Cash Transaction Reports (CTR)and Suspicious Transaction Reports (STR) by Financial Institutions
8. Regulations Governing Institutions Engaging In Credit Card Business
9. Regulations Governing the Cash Card Business of Financial Institutions
10. Guidelines for Financial Institutions in Setting Tiered Interest Rates for Credit Cards and Cash Cards
11. Regulations Governing the Declaration of Foreign Exchange Receipts and Disbursements or Transactions
12. Regulations Governing the Handling of Counterfeit and Altered Foreign Currency Notes and Coins
13. Directions for Banks Conducting Financial Derivatives Business
14. Directions Governing Limitations on Types and Amounts of the Securities in which a Commercial Bank May Invest
15. The Act Governing Bills Finance Business (Excerpt)
16. Enforcement Rules for the Act Governing Bills Finance Business (Excerpt)
17. Regulations Governing Responsible Persons and Staff Members of Bills Houses (Excerpt)
18. Securities and Exchange Act (Excerpt)
19. Regulations Governing Securities Firms (Excerpt)
20. Regulations Governing Responsible Persons and Associated Persons of Securities Firms (Excerpt)
21. GreTai Securities Market Rules Governing Securities Trading on the GTSM (Excerpt)
22. Financial Consumer Protection Act
EXERCISE
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