1. Employee internal control compliance self-inspection report
In accordance with the deployment and requirements of the parent bank on the comprehensive evaluation of the internal control of the grassroots banks in the year 20xx, the ICBC Jinan Minghu sub-branch to objectively, impartially, and realistically evaluate the internal control management status of the sub-branch, to further promote the improvement of the construction of the internal control system to improve the level of internal control management, take three measures to improve the internal control management, to improve the internal control system, and to improve the internal control management level, to improve the internal control system. In order to objectively and fairly evaluate the internal control management status of the branch, ICBC Jinan Minghu Sub-branch further promotes the improvement of the internal control system construction and improves the internal control management level.
First, strengthen the organization and leadership, and strengthen the implementation of the responsibility.
In order to put all the work of the 20xx annual internal control evaluation in place, the bank quickly set up an internal control evaluation leadership team and set up an office in the risk department. In addition to strengthening organizational leadership, the bank has also strengthened the implementation of the responsibilities of various departments and outlets: the internal control evaluation leadership team is specifically responsible for organizing and coordinating matters related to the evaluation of the internal control of the branch and the work; the risk department as the lead department is responsible for the branch and the internal control management department of the higher level of the bank's instructions and communication work, unified understanding, unified standards, unified progress, co-ordination and scheduling of various departments, outlets of the implementation of the evaluation of the internal control of the work in place. The first step is to make sure that the self-assessment of the internal control evaluation is carried out smoothly.
Second, strengthen the study and training of internal evaluation documents and information, correctly understand and grasp the evaluation criteria, evaluation points, evaluation basis and evaluation method of each evaluation index.
The bank's internal control evaluation leadership team organized the heads of departments and offices, business outlets and relevant personnel to seriously study the head office's "Implementing Rules for the Evaluation of the Internal Control of Primary Banks (20xx Edition)" and "Operational Manual for the Evaluation of the Internal Control of Primary Banks (20xx Edition)" and other documents and systems, so as to understand the spirit of the spirit, and master the evaluation methodology, and improve the quality of the self-assessment work.
Third, to strengthen the process of evaluation indicators of quantitative decomposition, to ensure that the bank to carry out internal control evaluation of self-assessment of completeness and operability.
The evaluation of the internal control of the grass-roots bank is mainly a process evaluation, the bank combined with the actual situation of the bank's management, in accordance with the requirements of the evaluation manual, the evaluation of the process evaluation indexes of the evaluation of the content, standards, key points, based on the quantitative decomposition of the method, to determine the evaluation of the department, the network and the evaluation of the specific project and the method of operation.
Fourth, to strengthen and improve the internal control evaluation of self-assessment of the basic management, to achieve the internal control evaluation of the day-to-day management of the behavior of the system.
The purpose of the internal control evaluation is not only to promote the improvement of the internal control management system and measures, but also to institutionalize the internal control management behaviors that have been formed and improved during the internal control evaluation process, and to implement them consciously in the day-to-day management at all levels and in all departments. The bank for the evaluation process found in the internal control deficiencies or problems in the full make-up and rectification of the basis of the relevant daily operating procedures and management assessment of the implementation of the rules and regulations of the revised and supplemented, and strive to combine with the implementation of the construction of the internal control evaluation of the day-to-day management of the behavior of the institutionalization of the construction.
V. Strengthen the evaluation of information exchange and communication, give full play to the role of the functional departments.
Between the grass-roots banks, between the departments, between the outlets of the operating and management situation is different, the content of the internal control evaluation and ways and means are not the same. In order to ensure the quality and progress of the self-evaluation work of the branch, as the lead department of the branch of the risk department to give full play to the active role of the functional departments, in the study and understanding and master the spirit of the parent bank and requirements on the basis of the absorption of other banks of advanced experience in the branch departments, outlets to strengthen the evaluation of the work of the exchange of information and communication, up and down the joint, coordinated and coordinated, so that the work of the self-evaluation of the high quality of the completion of the work in a timely manner.
Through the 20xx annual internal control evaluation self-assessment work, the exercise staff fully recognize the importance of strengthening the internal control management, is constantly improving the construction of the internal control system, strengthen the internal control management implementation behavior, improve the management level, and promote the sound operation of the business.
2. Employee internal control compliance self-inspection report
In order to further promote the implementation of the bank's internal control system of rotation of important posts, change of account management, mandatory vacation, our bank since the receipt of the silver party discipline office 20xx13 document "on the implementation of the internal control system of rotation of important posts, change of account management, mandatory vacation, etc. Since the notice of self-inspection", the leadership of the county bank attaches great importance to, first of all, a special meeting was held, in which the relevant documents were carefully studied and clear specialists responsible for this work. After the meeting, the bank's important post rotation, change of account management, mandatory leave and other internal control system work to carry out self-inspection, is now the self-inspection report as follows:
First, to strengthen the organization and leadership, to ensure that the self-inspection of the work carried out smoothly.
After the bank received the notice, the party branch of the county bank immediately held a business meeting on the document requirements for a full range of learning, the governor himself, set up an important post rotation, change of household management, mandatory vacation and other internal control system self-checking leadership group, the governor himself as the leader of the two vice-presidents of the deputy leader, the director of the two departments and one room as a member. A good start has been made for the smooth implementation of the self-inspection of internal control systems such as rotation of important posts, change of household management, and mandatory vacation. In order to effectively do a good job of self-examination, the county bank combined with the ongoing "banking industry internal control and crime prevention system implementation year" activities, launched a more detailed and in-depth. Self-examination work, the implementation of the "two-pronged" approach to find problems and analyze the causes, to ensure that the important post rotation, the management of the change of household, mandatory vacation and other internal control system self-examination work to the letter.
Second, self-examination.
(a) important positions and sensitive links rotation and mandatory vacation. The Bank has always insisted on the conscientious implementation of the important posts and sensitive links of the rotation system, every three years for job rotation, to effectively promote the development of various businesses to provide protection, and comprehensively improve the security of important posts and sensitive links of the work. In terms of mandatory leave, the Bank, in accordance with the provisions of the documents of the parent bank, requires that the leave of absence must reach 5-10 working days, and arranges for the substitute management personnel to replace the position of the leave of absence during the period of leave, to ensure the normal development of the work. So far this year, the bank's vacation personnel for 2 people.
(ii) county bank leadership team members. In accordance with the spirit of the Interim Provisions on Cadre Exchanges of the Agricultural Development Bank of China document, our bank is a deputy governor of the exchange of positions in different places, the county bank president Ren Governor in our bank has not served for three years, less than 50 years of age. County bank two vice president of the age of less than 45 years old, the president of our bank in the local service has not reached five years.
(C) change of household management and customer management work. Our bank in the management of loan customers, adhere to more than two account manager work system and the implementation of the account manager every two years for a change of household management. So far this year, our bank account manager should change the number of household management three, change the number of household management three times. Ensure the effective management of the management of the change of household, in order to improve the quality of service and work efficiency to lay a foundation for adherence.
Fengqiu County Branch of the Agricultural Development Bank in this "important post rotation, change of household management, mandatory vacation and other internal control system implementation" self-checking work to be able to strictly, from the careful, and adhere to the combination of the actual work, supervised important post rotation, change of household management, mandatory vacation and other internal control system "implementation, adhere to the focus and the comprehensive implementation of the internal control system". The implementation of the bank's self-inspection work, adhering to the combination of focus and comprehensive self-inspection, in the inspection of credit, finance, accounting and other key business areas, at the same time, a comprehensive understanding of the "rotation of important posts, change of account management, mandatory vacation and other internal control systems to implement the" progress of work, after the self-inspection of the bank's work in the "important posts, change of account management, mandatory vacation" and other internal control systems, and so on. The company's first step is to make sure that you have the best possible experience in the field.
3. Employee internal control compliance self-examination report
Since the listing of the company, the Board of Directors has been strictly in accordance with the relevant provisions of the China Securities Regulatory Commission, the Shenzhen Stock Exchange, focusing on the improvement and refinement of the company's governance structure. Within the jurisdiction of Zhejiang Supervision Bureau, the Company has taken the lead in introducing four independent directors who meet the relevant conditions and have strong professional capabilities; the proportion of the number of people accounted for more than one-third of the total number of the Board of Directors of the Company; and earlier set up four professional committees of the Board of Directors, which are able to carry out normal activities in accordance with the relevant provisions every year; to provide a mechanism and a working platform for the active play of the role of the independent directors.
During the reporting period, in order to strengthen and improve the corporate governance structure and the establishment and soundness of the internal control system, the Company has mainly done the following:
1. A leading group for special activities on corporate governance was established with Chairman Nie Zhonghai as the leader, and the leading group was formed by studying the spirit of the relevant documents; formulating a detailed implementation plan for the special work; and conducting a self-inspection against the current status of corporate governance to form the "Corporate Governance". "Self-examination Report and Rectification Plan on Strengthening the Special Activities of Corporate Governance of Listed Companies", which was considered and approved by the thirteenth meeting of the xx session of the Board of Directors of the Company and published on June 16, 2007 on the Juchao Information Network. At the same time, the Company set up and announced a special telephone, fax and Internet platform to listen to the opinions and suggestions of investors and the public.
2. In accordance with the Shenzhen Stock Exchange's "Guidelines for Internal Control of Listed Companies" and the China Securities Regulatory Commission's "Notice on Matters Relating to Special Activities for Strengthening the Governance of Listed Companies", and the Company's "Basic Standard on Internal Control System", the Company's "Disclosure of Company Information Management System", "Administrative Measures for the Assignment of Directors and Supervisors", "Administrative Measures for Holding (Participating) Company", "Basic Specifications on Internal Control System", "Management System of the Company's Proceeds", "Internal Audit System of the Company", "Implementation Rules of the Internal Audit System of the Company", "Implementation Rules of the Company on Cumulative Voting", "Implementation Rules of the Company's General Meeting of Shareholders on Network Voting", and have been considered and approved by the Board of Directors or the General Meeting of Shareholders of the Company.
3. At the same time, the Company has also made clear in the "Self-examination Report and Rectification Plan on Strengthening the Governance of Listed Companies" that each item to be rectified has been assigned to a responsible person led by a director. Recently, the internal control systems that have been formulated or are being formulated include: "Regulations of the Audit Committee of the Board of Directors", "Annual Reporting System of Independent Directors", "General Manager's Work System", "Financial Budget Management of the Company", "Positional Authorization System", "Crisis Management, Risk Prevention System", etc. These systems will provide a good basis for the establishment of the Company's financial management system. The development of these systems will provide a good basis for the establishment, sound internal audit, internal control system and to ensure normal operation.
4. The company has been following the principles of fairness, openness and impartiality, and the "Management Measures for the Company's Connected Transactions" formulated has made detailed provisions on the principles of connected transactions, connected persons and connected relationships, decision-making procedures for connected transactions, and information disclosure of connected transactions. The daily connected transactions occurring in the Company every year are announced strictly in accordance with the provisions of the Company's "Administrative Measures for Connected Transactions of the Company", and are implemented after being considered and approved by the annual general meeting of the Company.
5. The Company's Articles of Association also clearly stipulate the basic principles, proposal and deliberation procedures, announcement and disclosure of external guarantees. During the reporting period, the Company had no external guarantees other than those of its controlling subsidiaries. The company's guarantee to subsidiaries, strict compliance, fulfillment of the corresponding approval and authorization procedures. In comparison with the relevant provisions of the Internal Control Guidelines of the Shenzhen Stock Exchange, the Company has strictly controlled and audited the matters of external guarantees internally, and no violation of the Internal Control Guidelines has ever occurred. The company's financial handling of the implementation of the principle of prudence, responsible for auditing the company's financial accounting reports of Zhejiang Oriental CPA firm and Shanghai PricewaterhouseCoopers CPA firm for many years have issued an unqualified audit report.
6, the company has established a senior management to "the company's senior management annual salary assessment program" as the basis for the company's business responsibility objectives as the main content of the ` assessment, incentives and constraints mechanism. The relevant incentive system has been established from the beginning of the listing and has been continuously revised and improved according to the actual situation, and has been implemented until now. During the reporting period, the Annual Salary Assessment Program for Executives of the Company (revised in 2007), which was considered and approved by the Second Session of the Board of Directors of the Company in xx, was revised in which the specific assessment indicators were revised to further clarify the constraints between the responsibilities and rights of the Company's executives and their remuneration.
7. The second session of the Board of Directors voted to approve the motion of the Audit Committee of the Board of Directors on "Improving and Perfecting the Internal Audit Institution", which includes the following main contents: (1) the internal audit institution of the Company is directly responsible to the Board of Directors and reports to the Board of Directors; (2) the internal audit institution of the Company is authorized by the Board of Directors to carry out specific tasks under the guidance of the Audit Committee of the Board of Directors. Within the scope of authorization of the Board of Directors, the internal audit organization of the Company shall carry out its work under the guidance of the Audit Committee of the Board of Directors; (3) the internal audit organization of the Company shall be temporarily attached to the Office of the Board of Directors, and shall be set up as an independent department when the basic conditions are ripe; (4) the internal audit organization of the Company shall be equipped with a person in charge of the organization, and the grade shall be a division level. No less than three staff members of the internal audit organization, basically in place by the end of 2007; (5) the company's Supervisory Committee in the company's internal audit function of the institutional setup, staffing, and implementation of the "company's internal audit system", "the company's internal audit implementation rules" of the situation of the implementation of effective supervision.
8, September 14, 2007, Zhejiang Securities Regulatory Bureau Supervision Department leaders to the company on the "special activities of corporate governance" on-site visits to check the company to further deepen the company's corporate governance put forward the views and requirements. Zhejiang Securities Regulatory listed word [2007] No. 172 "on the Hangzhou steam turbine corporate governance comprehensive evaluation and rectification recommendations of the notice" in the document since the listing of the company, in the corporate governance structure, three decision-making system, internal control system, accounting, information disclosure, made a full affirmation, but at the same time, pointed out that: the company should further improve the internal audit department of the composition and functions of the internal audit department to give full play to the role of the department of the internal audit. The role of the internal audit department.
At present, the company's senior management has been in accordance with the regulatory authorities and the audit committee of the board of directors of the "sound and perfect internal audit organization" of the views and requirements of the basic implementation of the rectification of the end of the first quarter of 2008 in accordance with the relevant provisions of the Board of Directors has been set up under the leadership of the internal audit organization, with full-time staff, basically have the ability to The company has basically been able to carry out relatively independent internal audit work and implement the function of monitoring the company's internal control.
Self-assessment of the company's internal control:
1. The company has basically established a corporate governance structure and internal organizational structure in line with the requirements of modern management, and the decision-making mechanism, implementation mechanism and supervision mechanism formed can basically ensure the realization of the company's business management objectives, and basically ensure that the disclosure of the company's information is true, accurate, complete and fair, and basically ensure that the company's internal control is in line with the requirements of national laws and regulations and the company's internal control. The implementation of relevant national laws and regulations and the company's internal control system.
2. The risk control system established by the Company is basically sound and effective, which can basically ensure the healthy operation of the Company's business activities.
3, the company's internal control system (including the internal audit system), basically able to achieve the goal of plugging loopholes, eliminating hidden dangers, preventing and timely detection and correction of various errors, and protecting the safety and integrity of the company's property.
4. Employee internal control compliance self-inspection report
Contrasted with the Shenzhen Stock Exchange "Internal Control Guidelines" of the relevant provisions of the internal control work of the company basically in line with the China Securities Regulatory Commission, the Shenzhen Stock Exchange of the relevant requirements. Industrial Bank issued the "Employee Code of Conduct", "Employee Behavior Prohibition Regulations", "Employee Violation Handling Regulations" to build a complete set of with the code of conduct for employees, as a front-line employees from the professional morality, professionalism, professional discipline, occupational safety and other deep self-analysis, self-checking:
First, professional ethics
I bear in mind that the "Employee Code of Conduct The seven requirements put forward by the outline of professional ethics ", loyal to ICBC; fulfillment of duties, return to society; the whole heart, the overall situation; love of duty, conscientiousness; integrity, honesty and trustworthiness; service-oriented, the customer first; sound compliance, risk prevention".
Second, professional quality
I clearly as a front-line employees of the basic service standards, behavior and etiquette norms, business operation norms and customer service norms, with the "three voices" service and "smile" service to move the customer to their fullest enthusiasm to face the customer. The most full of enthusiasm to face the customer, let them feel our sincerity. We show our sincere and heartfelt service style to our customers, provide them with all-around and attentive service, and express our pure and sincere smile. Every day with a smile and customers say the first words: "Hello! May I ask what business you want to handle?" From the "thank you, sorry" some seemingly unintentional small things to do, the service reflects thoughtfulness, details determine success or failure. Because, we represent not only ourselves, but the whole ICBC.
Third, professional discipline
I do not often late, absenteeism, early departure, and other non-compliance with labor discipline and mood, work negative ` behavior; no often do not take part in political learning, business learning and other collective activities without reason; the use of work to facilitate the acceptance of red packets from customers, gifts, fees, or to ask for property, or to borrow communications equipment, transportation, reimbursement of various expenses, The behavior of seeking personal benefits. There is no organization or participation in illegal activities involving pornography, gambling, drugs, etc.; malicious credit card overdrafts, behavior, etc., all in accordance with the strict implementation of the Code of Conduct.
Fourth, occupational safety
I realize that following occupational safety is not only for their own protection, but also for the care of others, in the work of vigilance and safety awareness, master the basic skills of safety, usually in accordance with the rules and regulations system and business processes to handle the business, and actively participate in various forms of emergency drills, in order to avoid unnecessary risks of accidents.
Through the study and self-examination of the "Employee Code of Conduct Handbook" and the "Operational Risk Prevention Handbook", I deepened the standardization of employee behavior and the construction of risk prevention awareness, and strengthened my determination to implement the code of conduct.
5. Employee internal control compliance self-examination report
According to the spirit of the relevant documents of the Office of the Banking Supervision, I seriously organized all employees to carry out employee loans, participation in the private sector financing, and the situation of the investigation of the business enterprise, as a credit employees, I seriously study the spirit of the "three" investigation work, and effectively carry out the performance of the duties.
As a credit union employee, I currently have a loan balance of x million yuan in xx County Rural Credit Union and other financial institutions within the jurisdiction.
2, participation in private financing.
After self-examination, I do not have the following six kinds of illegal financing phenomenon: First, there is no "to obtain high interest for the purpose of their own funds or to the bank, friends and relatives, enterprises, natural persons to borrow for investment, lending" phenomenon; Second, there is no "in the name of the rural credit unions, organizations, or introduced, act as a form of assistance to others to finance at high interest rates," the phenomenon of; Third, there is no "to the customer or my account for others to transition funds. I account for others to transition funds" phenomenon; Fourth, there is no "other high-interest financing to provide office space or carry out promotional activities" phenomenon; Fifth, there is no "in various forms to participate in the phenomenon of extraordinary fund-raising" phenomenon; Sixth, there is no "self-managed or participate in the operation of the pawnbroker, microfinance companies, providing companies and other institutions" phenomenon.
3, internal staff business enterprises.
After a rigorous self-examination, I do not participate in business enterprises, there is no shareholding in industrial and commercial enterprises, part-time work in the enterprise, directly open the company to participate in business activities.
The above three aspects of my self-examination in the "three" investigation work, in line with the "diligent, loyal, rigorous, pioneering" of the corporate culture requirements, seriously practicing a qualified staff behavior, prevention and mitigation of risks and hazards, and effectively do a good job in the performance of their duties.