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2023 Bank Compliance Self-Inspection Report Model Article 1To improve the compliance awareness of all employees, especially the new young employees, the Union, first, since the establishment of the provincial federation of the systems and methods introduced since the Code of Financial Ethics, laws and regulations, as well as a variety of cases as the content of the study and training, focusing on improving the familiarity of employees with the basic system, and to strengthen the chemical law, understand the rules, compliance, and system awareness. Secondly, in accordance with the principle of unified planning and hierarchical implementation, during the year, the Union **** organized X training and learning classes, with XXX participants, of which the learning surface of front-line employees reached more than 90%, so that everyone truly recognizes the importance of internal control priority, system first, and understands and is familiar with the key points of internal control of their own positions, and takes the initiative in preventing and detecting risks. Thirdly, the company has adopted various forms of self-study, centralized study, decentralized study, post exchange study, interactive discussion study, etc., and earnestly studied business books such as Business Process Compliance Operation Manual and Theory and Practice of Safety and Security Work. At the same time, combined with the actual case prevention and control, the typical case warning education into the activities, analysis of cases, summarize the lessons learned, the root causes and symptoms. Union monitoring department at any time to collect the relevant typical cases, carefully analyze the causes, and regularly notified in the form of documents to enhance the relevance of learning, everyone wrote study notes and insights to further deepen the understanding of the system and re-understanding. Fourth, the use of incentives to test the effectiveness of learning. mid-October, take the bottom-up selection of the way, the credit unions and the federation recommended XX employees compliance knowledge contest; late November, the organization of the jurisdiction of the XXX employees to participate in the provincial federation's system of learning exams in the post, the examination results and staff target responsibility assessment and the next year's post employment is linked to the examination pass rate of 99%.
2023 Bank Compliance Self-examination Report Part 2According to the requirements of the XX City Branch "XX Bank XX City Branch 20xx" Compliance Discussion "activity implementation program", combined with their own positions to seriously carry out a comprehensive self-check of compliance risk, is now reported on the situation as follows:
Through the study of relevant documents and spirit, it makes me realize that I am not the only person in the world who has the right to know. Through the study of the spirit of the relevant documents, so that I recognize the significance of the educational activities of the culture of compliance, understand the importance of the word "compliance", and more firmly in the actual work of their own adherence to the "compliance" of the conviction. In the continuous in-depth study and combined with my usual work in the actual situation, the theoretical study of the compliance system, professional ethics and integrity, compliance operation consciousness, supervision and prevention of consciousness and personal attitude to work have a clearer understanding:
First of all, the reform and development of our bank can not be separated from the compliant operation, to promote the discussion of compliance, will certainly be for the implementation of the bank's business philosophy and systems to provide a strong support and guarantee, but also to make the bank's business philosophy and the implementation of the system to provide a strong support and guarantee. The first step is to make sure that you have a good understanding of the situation, and that you have a good idea of what you are doing.
Secondly, through repeated study and deeper understanding, I fully realize the purpose and significance of this compliance culture education activities, and more clearly implement the importance and necessity of rules and regulations and operating procedures. In addition, the company has been able to conduct self-checks against the implementation of the system and operational norms, so as to learn, compare, check and rectify, and carry out self-checks and self-corrections from the aspects of learning, ideology, operation and management, rules and regulations, and work style, as well as to make up for the shortcomings and omissions.
In terms of work style, I am conscientious, carry forward the spirit of hard work of the older generation, and resolutely put an end to the use of authority to eat, take, card, ask for behavior, no business, shareholding business and encroachment on the collective property behavior, no involvement in gambling and drug abuse and other illegal behavior, adhere to do a qualified postal bank employees. The "compliance discussion" work carried out, let me fully realize that to do a good job, we must always keep a clear head, there can not be any fluke, hard work, clean people, "do not reach out, reach out will be caught." Any violation of illegal behavior is a great harm to the collective, extremely irresponsible for themselves and their families, take their own life and future to do lose no win gambling. Through this compliance culture education activities, so that I am more ideologically close to the organization, set up a new benchmark in the future work, in an effort to strive to be an excellent Postal Savings Bank employees and work hard
2023 Bank Compliance Self-inspection Report Sample Essay 3Since this year, the Agricultural Bank of Shandong Heze Branch to keep up with the business development of the new situation, and actively explore new ways of internal control and compliance checking, and new means of promoting the "four", and pushing the "four".
One, promote the transformation of the inspection target.
With the continuous improvement of the internal control system, intuitively obvious risks and loopholes are less and less, the traditional compliance inspection with the main goal of checking for errors and correcting errors, plugging loopholes, has not been adapted to the needs of the development of the business, the bank's inspection goal began to transition from checking for errors and correcting errors to risk evaluation and assessment. By integrating the inspection plans of each department and office in 20xx, the original business inspection objectives were adjusted, operational risk assessment was implemented when the business supervisory department organized due diligence supervision, compliance risk assessment was implemented when the compliance department organized the overall shifting inspection, and legal risk assessment was implemented when the legal staff organized the "Sixth Five-Year Plan" legal literacy work.
The transformation of the inspection function.
Finding loopholes and correcting deviations is the function of the internal control compliance department, the form of supervision, the essence of the service, the inspection function from pure supervision to supervision, service and transformation. While discovering various business issues, the bank focuses on observing the effectiveness of the internal control system and the efficiency of the business activities to promote the branches to continuously improve the self-restraint mechanism and maximize the value. For example, in the organization of the "internal control management special governance year" activities and "irregular operation remediation" activities, inspectors and branches from the inspection and inspection of the relationship between the antagonism, transformed into the inspection, correction, counseling and support of the relationship.
2023 Bank Compliance Self-inspection Report Sample Part 4From last August, the beginning of the urban residents of the medical insurance, by the majority of residents of the warm welcome, Jili District urban residents actively participate in the number of insured people rose sharply, medical insurance has achieved an unprecedented large development. In order to understand the implementation of urban residents of Jili District health insurance, recently, Jili District Social and Economic Survey Team in the city, randomly selected 20 urban residents families, "Jili District urban residents of the implementation of health insurance status" questionnaire survey.
The content of this survey is divided into the basic situation of urban residents, urban residents of medical insurance understanding and participation in the situation, urban residents of the existing medical insurance system requirements and recommendations of the three parts of the **** 20 questions. The survey object by the party and government agencies staff, UNESCO personnel, enterprise employees, retirees, freelancers, individual workers, etc.; the age of the investigator is divided into 20 years of age, 20-40 years old, 40-60 years old, 60 years old and above four age groups.
First, the publicity is relatively in place, but the intensity still needs to be increased.
Gili District since the implementation of urban residents health insurance, give full play to the advantages of the news media and community resources, to take a flexible and diverse approach to publicize the urban residents of the relevant content of the health insurance system, so that residents of the health insurance system has a certain understanding of the basic formation of the atmosphere of everyone talking about health care, everyone into the health insurance. In the "How much do you know about the pilot medical insurance system for urban residents?" In this survey, 16 people said that the basic understanding, accounting for 80% of the number of people surveyed, 20% of the residents in the survey on the specifics do not quite understand. The new system to be recognized to let the residents familiar with the first, the current Jili District mainstream media on health insurance policy propaganda to a large extent on the surface, on its nature, the policy terms less involved, so that the ordinary people on the health insurance knowledge also stays on the surface, which is not conducive to the promotion of the system. In order to make the urban residents of the medical insurance system to carry out a comprehensive, the relevant departments not only to let the people know that there is this system, but also to let the people know that this system is how to implement the specific, only then the people can further recognize the importance of participation in the insurance, in order to truly realize the universal health insurance.
The second urban residents to participate in the insurance situation and cognitive situation.
In the 20 survey households, *** there are 72 people eligible to participate in the insurance, has participated in the health insurance 70 people, accounting for 97% of the total number of people, there are 2 people did not participate in the total number of people, accounting for 3%. Among the 70 people who have participated in the insurance, 80% of the residents think that the system is good for the family to protect and participate; 10% of the residents because of the community propaganda, mobilization and participate; 10% of the residents are not clear, see around the people participated and participate. Of the two who did not participate, one of them did so because he had already participated in similar commercial insurance and did not want to repeat his participation, and the other did not participate for other reasons. From the above survey data, it can be seen that most of the residents are now ideologically in favor of medical insurance for urban residents, believing that it is a good policy with protection for families and individuals. "Do you think urban residents' medical insurance can solve family difficulties caused by illness?" This survey content, 4 people choose can, accounting for 20%; XX people choose to help, accounting for 70%; 2 people choose can not, accounting for 10%. The above survey data show that nearly 90% of the residents believe that urban residents medical insurance to return to poverty due to illness this problem has helped, 10% of the residents think no help.
The level of urban residents' health insurance premiums.
Jili District urban residents medical insurance regulations 18 years of age or older urban residents per person per year funding amount of 180 yuan, of which the individual to pay XX0 yuan, the financial subsidy of 60 yuan; students (including vocational high schools, junior colleges, technical school students and primary and secondary school students), children and teenagers per person per year funding amount of 90 yuan, of which the individual to pay 30 yuan, the financial subsidy of 60 yuan;; the low income people, heavy disabled people, the financial subsidy of 60 yuan, the individual to pay 30 yuan, the financial subsidy of 60 yuan. Urban low-income people, people with severe disabilities, low-income families over 60 years of age and other difficult residents, the annual funding amount per person is 180 yuan, of which 60 yuan of individual contributions, financial subsidies XX0 yuan; has participated in the urban and rural people in need of medical assistance insurance for low-income recipients and students with severe disabilities and children to participate in the individual does not pay.
Although the district government in the residents of the medical insurance premiums have been fully taken into account the different income classes of residents of the affordability, but the survey "you think the current urban residents of the medical insurance system, the level of payment how?" There are still 50% of the residents think higher, 40% of the residents think appropriate, 10% of the residents think lower. From the survey data can be seen that there are still a considerable portion of the residents think that the current level of health insurance premiums on the high side, which is mainly due to the different levels of economic development between the different places, the residents of the income level of the gap is relatively large caused by.
Four, the community health service system to continue to improve, to meet the needs of urban residents.
Strengthening the construction of community health service organizations is a necessary condition to ensure better implementation of medical insurance for urban residents. In the "you think the existing community health service center can meet your usual medical needs?" In this survey, 30% of the residents choose can, 70% of the residents choose can not. It can be seen that although the government is constantly vigorously develop community health service organizations, but the current community health service organizations still can not meet the needs of the majority of residents to seek medical treatment.
In the question "What do you think are the following problems in community health centers?", 70% of the residents thought that the medical services were not adequate. When asked "what problems do you think exist in community health centers?", 70% of the residents thought that there was a lack of medical equipment, 60% thought that the level of medical skills was not high, 30% thought that the management was not formal, and 20% thought that the fees were unreasonable.
From the point of view of everyone's choice, public hospitals with abundant medical resources are still the first choice for residents to seek medical treatment for serious illnesses, and this advantage far exceeds that of community health centers. At present, there are still a series of problems in the community health service center, can not meet the needs of the majority of residents to see a doctor, and therefore to increase the construction and development of community health service institutions, so that it is in a strong position to solve the problem of urban residents difficult to see a doctor.
V. Residents' views and opinions on the medical insurance system for urban residents.
Residents are very concerned about the implementation of the medical insurance system for urban residents, and almost all respondents wrote down their opinions and views very carefully, hoping that these opinions and views can play a role in the smooth implementation of medical insurance for urban residents. The suggestions and opinions written by the respondents mainly reflect the following aspects:
1. Increase publicity. A business person surnamed Lu wrote: "Increase publicity and transparency, so that the people understand the specifics." A respondent surnamed XI wrote: "Increase publicity, the reimbursement process and the main content of the health insurance system printed on the back of the medical insurance, reduce the work link."
2. Problems with the reimbursement system. An enterprise worker wrote: "First, the reimbursement procedures are troublesome; Second, can not only hospitalization to reimbursement, such as some chronic diseases and special diseases that require frequent treatment to maintain, hospitalization to treat the increased burden of the insured, the proposal to set a monthly reimbursement limit, so that the universal health care system to play the role it should be, so that the people are truly benefited. " A teacher surnamed Jia wrote: "After participating in health insurance, some medical expenses are not reported, was told that the reason is not hospitalized not to report, and some drugs are not included in the reimbursement."
3. Strengthening community health service organizations. A part-time worker surnamed Li wrote: "The community as the initial consultation, should expand the consultation program, enrich the consultation equipment, improve the quality of service, and really put the benefits of universal health care into practice." An organization surnamed Wang wrote: "Community health service centers to set up more, sound equipment, to facilitate the residents to see a doctor problem, more supervision of drug prices."
4, fixed-point medical regulations are unreasonable. A family worker surnamed Zhou wrote: "You must first visit the community service center, only they open the transfer certificate can be transferred to the hospital restrictions are too dead, some community hospitals are too poor quality of doctors, will certainly delay the condition." A respondent surnamed Li wrote: "Seeing a doctor must go to the designated hospital consultation is not free and inconvenient, such as the sudden onset of illness, the designated hospital is far from home, if you go to the nearest hospital to deal with the complexity of the reimbursement procedures at a later stage, the participation in the health care procedures are not clear, easy to take the backpack road, should be more in this regard to improve."
5, increase supervision. A worker surnamed Guan wrote: "Not enough supervision, easy to implement the system in the process of problems, I hope more attention." A domestic worker surnamed Zhao wrote: "Government departments should increase the supervision of health insurance work to control the inflated prices of medicines." Urban residents' health insurance is an important system for realizing universal health insurance in Jili District, which is a good policy that really solves the people's difficulties in seeing a doctor and the high cost of medical care. In this long-term project, there are still many aspects of the need for continuous improvement and refinement, in this over the process the relevant departments should listen to the voices of the people, more for the sake of the people, in order to guarantee the effective implementation of the goal of universal health care in Jili District.
2023 Bank Compliance Self-examination Report Part 5Compliance risk is the first match of credit risk, moral risk, operational risk. Compliance is an inherent requirement for the sound operation of credit union. Most banks have taken two main directions of endeavor to reduce non-compliance. One is to transform the process and strengthen the management of the direction, the other is to establish a full compliance culture direction, so that the compliance behavior has become a conscious action of the whole staff
First, the compliance culture is to "comply with the honor, the violation of a collective concept of honor and shame.
Its operating mechanism is to let the brain reward emotion and punishment emotion on the combination of compliance behavior. That is, let the compliance and reward emotion binding, so that compliance behavior will make people feel a kind of pleasure, people call it a sense of honor; at the same time let the violation of the behavior and punishment emotion binding, so that the violation of the behavior will make people to a kind of hard, people call it a sense of shame. What people advocate and what they reject is the process of distributing positive and negative emotions, and this natural combination is the origin of culture. The re-combination of emotions with events that are promoted through human intervention is cultural construction.
The second reason for the recurrence of business and operational violations is related to traditional culture.
The advantage of culture building is the relative stability of the culture once established, the difficulty is that the culture of compliance faces the challenge of traditional culture. When the compliance reward emotions encountered family and friendship reward emotions, often the former is not the latter, in the search for the best of both worlds, the violation also came quietly. Therefore, there are often encounters between compliance culture and traditional culture. The environment is particularly important when building a culture of compliance.
Third, the standardized governance structure is the "environmental soil" for the survival of the culture of compliance
3.1 Supervisors should create pressure on the operators. The best kind of pressure is real-time monitoring within the organization
3.2 Supervisors need to be entrusted to act as watchdogs.
So how to prevent the watchdogs themselves from instructing the lower levels to violate the rules? Supervisors also need an emotional support, which is the trust, honor, it needs to be given to the trust to build. To give each appointment level of the right to appoint in order to establish the trust, and then inspire a sense of trust, a sense of honor, the realization of a representative of the duties. And the mechanism of mutual checks and balances is neither trust nor pressure of the work environment, it is the main cause of the reality of unfaithfulness.
3.3 Environment stimulates human emotions and abilities.
The overall quality of the person is key, and another key factor is the environment. People have this experience, when people come to a particularly beautiful, clean and standardized tourist attractions, there will be self-conscious maintenance, do not litter the phenomenon. At this point it is not that a person's quality is immediately improved, but the environment inspired by the emotion to improve the spiritual realm of people.
Four, the reason why people can take on different roles, because different emotions can be flexible.
Role theory tells us that a person in the same category can not take on two different roles, it is the emotional side inhibition. Otherwise it will cause role conflict and role ambiguity. Cultivate the soil environment of compliance culture for the supervisor is to create a single function of the watchman, to accept the heavy responsibility of the higher leadership, subject to the peak experience, so that it can be like a rescue team to rise to the occasion; for grass-roots workers is subject to internal supervisors to accept real-time supervision, so that it is equivalent to the higher leadership is resident, to maintain a certain amount of pressure perennially. Only a standardized governance structure can resist the return of traditional culture and improve the conditions of survival required for a culture of compliance. Therefore, the important part of establishing a compliance culture for all staff of Bank SinoCom is to improve the compliance "soil environment". According to the spirit of the provincial bank to carry out the activity of "everyone complies with the rules, the whole bank rectifies", under the propaganda, organization and mobilization of the relevant departments of the branch, I earnestly and y participated in the "compliance, rectification" learning activity carried out by the whole bank. Through this activity, further improve my risk prevention awareness, strengthen the concept of compliance operation, and clear post responsibility and the significance and importance of this activity.
As a manager, I know that compliance is the basic principle of modern commercial bank management, but also to adhere to the correct business direction of the guarantee, but also the financial enterprise self-development and self-protection and prevention of financial risk is fundamental. Therefore, in the management of business, we must do the following work to ensure the healthy and rapid development of our work.
First, to improve the quality of the staff's thinking, and enhance the staff's concept of operating in accordance with the law
Strengthen the staff's laws and regulations, rules and regulations, and to strengthen the ideological education, which is an important means to eliminate violations of the law from the source. Strengthen the risk prevention education for bank employees, so that everyone recognizes the complexity of society and the universality of the risk of bank operations, recognizing that the bank itself is a high-risk industry, must put risk prevention in the first place. Every day from their own positions, consciously abide by the rules and regulations, consciously resist a variety of disciplinary, illegal, illegal behavior, to eradicate the trust instead of management, habit instead of the system, the sentiment instead of discipline, cherish their careers, depending on the system as life, correcting violations such as demining, to enhance the awareness of risk prevention and self-protection, improve the standardization of the operation, to prevent the occurrence of the case from the source.
Second, the establishment of rules and regulations to strengthen internal control management
From the financial system in recent years, the economic case, "ten cases of nine violations," there are not follow the rules, irregularities in the operation of the inspection is not fine, the supervision of the ineffective, it is an important source of countless cases. Numerous cases, accidents, lessons learned, all reflect the internal control management there are certain loopholes. It is the imperfection of the system that leads to some people have the opportunity to exploit the loopholes, thus causing losses to the state funds. We should learn from the lessons, constantly improve the rules and regulations, and internal control management as a prerequisite for risk prevention, to seriously and solidly implement the provisions of the case prevention system of responsibility, to promote the strengthening and improvement of the internal preventive mechanism, and strive to achieve the development of business under the premise of standardization, and in the development of business at the same time, strengthen the standardization of the management in order to ensure that the process of all business and within the constraints of the rules and regulations.
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