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论文编号：	10395
作者编号：	2120162880
上传时间：	2018/12/6 11:39:01
中文题目：	TH基金公司合规风控管理体系构建研究
英文题目：	Research on the construction of compliance risk control management system of TH fund company
指导老师：	石鉴
中文关键字：	公募基金；TH基金；合规风控；风险管理
英文关键字：	Mutual funds;Compliance risk control;Risk management
中文摘要：	我国公募基金行业从无到有，规模从小到大，至今走过20 年，先后经历了早期探索阶段、规范治理阶段、快速发展阶段，现已步入行业大合规时代。伴随着行业的快速发展，公募基金管理公司在合规风险管控制方面的不足也逐渐暴漏出来。合规经营是基金公司可持续发展的基础和前提，如何对企业经营活动的全面合规风险进行行有效管控，也是基金公司管理者以及行业监管机构都十分关注和期待更好解决的问题。因此，本文站在研究者的视角，通过对TH基金公司合规风控管理现状的分析，发现其不足以及待完善的部分，并针对其进行合规风控管理体系的构建研究，希望能为行业内其他基金公司的合规风控管理体系建设提供一定参考价值。 首先，针对本论文研究内容，笔者在参阅了国内外相关文献综述和研究报告之后，选取其中较为成熟的金融行业大合规理论、企业合规管理体系建设标准理论、全面风险管理理论、PDCA质量管理理论以及企业合规管理三道防线模型理论作为本文研究的理论基础。其次，基于我国公募基金行业的发展现状、趋势和监管要求，以及TH基金公司的现状，作者阐述了TH基金公司合规风控管理存在的问题。再次，从TH基金公司合规风控管理理念和目标入手，结合作者对于基金公司合规风控管理体系构建的理解、经验累积、以及深入研究结果，提出针对TH基金公司合规风控管理体系构建的思路、方法、相关设计。最后，作者给出TH基金公司合规风控管理体系的落地实施方案和优化建议，并指出本文研究的不足和局限性。 本文研究结果表明：虽然TH基金公司目前的合规风控管理管理工作在行业内相对较好，但是从其业务的复杂性和特殊性，以及监管机构对其监管重点来看，为了企业未来的长足稳健发展，TH仍然需要进一步加强其现有合规风控管理，进行体系化建设，以下几个方面是作者给出的方法：一、加强企业合规风控管理文化建设；第二、进行全面合规风险评估和分析应对；三、加强公司内部审计和评价单元建设；四、加速企业合规风控管理信息化和智能化。
英文摘要：	China's public fund industry started from scratch and its scale has grown form small to large with 20 years development. It has gone through the early exploration stage, the standardized governance stage and the rapid development stage and now entered the era of big industry compliance. Along with the rapid development of industry, public offering fund management companies have gradually exposed many immature and irregular phenomena and problems in their compliance and operational risk management areas. Compliance management is the foundation and prerequisite for the sustainable development of fund companies. How to effectively control the overall compliance risk of business activities is also a serious problem to be solved better for many fund managers and industry regulators. Therefore, standing in the perspective of the researchers, the author chooses TH fund management company as the research object and hopes for providing some industry reference value, through studying its construction of compliance risk control management system. First of all, in order to complete the research, the author has reviewed the related literature at home and abroad and selected related mature investment fund industry compliance regulation theory, enterprise risk control and management practice theory, PDCA quality management theory and the three defense line model of the enterprise compliance management theory as the theoretical foundations of the thesis writing. Secondly, based on the present situation, development trend and industry regulatory requirements in China, as well as the current situation of TH fund company, the author elaborates the problems of compliance management of TH fund company. Thirdly, starting with TH fund company's concept and objectives of compliance risk management, combining with the author's understanding, experience accumulation and in-depth research results on the construction of compliance risk management system of fund company, this paper puts forward the ideas, methods and related design for the construction of TH fund company's compliance risk management system. At last, the author gives the implementation plan and optimization suggestions of TH fund company compliance risk control management system, and points out the shortcomings and limitations of this study. The research results show that although TH's current compliance risk control management has done relatively well in the industry, it still needs to further strengthen systematic construction. Especially considering its long-term steady development in the future, it is necessary. The following aspects are the methods given by the author. Firstly, it needs strengthen the construction of enterprise compliance management culture. Secondly, it should conduct comprehensive compliance risk assessment and analysis. Thirdly, it needs strengthen the construction of internal audit and evaluation unit. Fourthly, it should accelerate the informationization and intellectualization of enterprise compliance risk control management.
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