摘要
目前，我国保险公司现行的合规管理体制缺乏系统性，没有专职机构负责，缺乏有效的组织保障和科学的运行程序，是一种模糊低效的运作方式。因此，要大力推广和普及全新的舍规管理理念；设置统一的合规规划和合规管理部门；加强对一线员工的系统培训和指导；确保检查部门独立于业务活动，以保证合规管理的有效性。只有建立符合保险公司自身实际的合规管理体系，才能有效发挥其风险管理和健全企业内控的功能。
The current compliance management system applied by Chinese insurance companies is a blurred and low-efficiency system for its lack of systematic composition, absence of specialized competent organization and lack of effective organizational support and scientific operational procedures. Therefore, a brand-new compliance management concept should be vehemently promoted and popularized. A uniform compliance planning and compliance management department should be set up, and front-line employees should be systematically trained and guided. Moreover, inspection department should be independent of business activities to ensure the effectiveness of compliance management. Only by establishing a compliance management system suitable to the actual situations of insurers can it play an effective role of risk management and internal control.
出处
《保险研究》
CSSCI
北大核心
2006年第5期47-53,共7页
Insurance Studies
关键词
合规风险
法律风险
管理体系
合规队伍
合规机构
合规制度
合规文化
compliance risk
legal risk
management system
compliance personnel
compliance organization
compliance policies
compliance culture
