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1、信用社银行 合规文化活动方案履职情况工作报告工作总结联社合规文化建设年活动方案为积极贯彻落实银监会全国农村中小金融机构监管工作会议精神，扎实推进我联社全面风险管理长效机制和合规文化建设，根据 银监会办公厅关于印发农村中小金融机构合规文化建设年活动方案的通知(银监办发 132号)以及*省农村合作金融机构“合规文化建设年”活动实施方案相关要求，结合我联社实际，市联社从今年4 月份开始在辖内组织开展以“抓合规、建机制、防风险、促发展”为主题的“合规文化建设年”活动，并制定本实施方案。一、统一思想，明确目标(一)总体目标通过“抓合规、建机制、防风险、促发展”为主题的“合规文化建设年”活动，我联社在今年
2、着重建立“一个体系”，完善“两种机制”，制定“三个办法”和建立“四项制度”。建立“一个体系”，就是建立与本联社经营范围、组织结构和业务规模相适应的合规管理组织体系；完善“两种机制”就是完善有效实施全面风险管理和业务合规操作的机制；制定“三个办法”，就是制定和完善合规绩效考核办法、违规问责办法和诚信报告办法；建立“四项制度”，就是建立重大违规报告制度、合规政策报备制度、合规管理评估制度和合规管理联动制度。我联社在组织实施“合规文化建设年”活动过程中，要以合规文化的普及、教育和宣传，进一步创建“合规；和谐”的企业文化；以业务流程的优化和再造，来推动各项合规管理政策、程序、制度的落实，提高制度执行力
3、；以全面风险管理机制建设的全面推进和积极实施，来推动合规风险管理从单纯目标管理转变为全过程管理，促进经营战略转型，增强风险管控能力。(二)三大原则1、领导层倡导及率先垂范。只有得到领导层的重视，合规文化建设各项工作才能稳步推进、有效落实。因此，培育合规文化、建设合规管理体系，领导管理层必须率先垂范，身体力行。在本次活动中，各信用社主任、各部经理必须亲自抓部署、抓落实、抓督导，并结合流程银行建设和全面风险管理机制建设，定期或不定期对全体员工进行普及性的专题授课；联社管理层成员要按照分工逐项落实合规文化建设年活动计划，并明确机构内部各层级的分工及职责，做到每项合规事项都有专人负责和落实。文档编码:
4、CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码
5、:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编
6、码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档
7、编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文
8、档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3
9、文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B
10、3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B32、全员参与，全面覆盖。合规不仅仅是合规部门的职责，更是每一位员工的责任，只有合规
11、成为每一位员工的行为准则，成为各岗位人员的自觉行动，合规管理才会真正有效。在本次活动中，各社、各部要大力提倡合规人人有责，引导各级员工从规范自身业务操作做起，最大限度地避免违规事项的发生。3、正确处理合规管理与业务发展的关系。无论是联社高层、中层还是一般员工，都肩负着发展和合规的双重任务，必须将合规管理活动与业务发展需求结合起来，将合规管理的要求融入业务流程操作中，通过合规促进业务发展，真正实现合规创造价值的理念。二、加强领导，强化组织为确保“合规文化建设年”活动的顺利开展，联社成立“合规文化建设年”活动推动小组，由黄勇理事长担任组长，李宜应主任担任副组长，联社领导班子其他成员和各部门负责人为
12、小组成员。“合规文化建设年”办公室设在合规部，具体负责“合规文化建设年”活动的宣传、部署、推动和评价。各社要成立“合规文化建设年”活动推动分小组，由社主任和副主任分别担任正副组长。联社理事长是本次“合规文化建设年”活动的第一责任人，各社主任做为本社责任人，对合规管理政策制度的建立健全、合规风险管理体制机制的有效性、违规行为的控制与处罚承担全面责任。各单位要按照中国银监会的要文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7
13、X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U
14、7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10
15、U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M1
16、0U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M
17、10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4
18、M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV
19、4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3求和省联社的统一部署，充分发挥主体作用，结合自身特点，有针对性地开展活动，把各个步骤和环节抓细、抓实，保证效果。联社合规部负责本次活动的具体实施、运作及协调，其他部门应积极配合、全力支持，上下合力，抓出实效。三、具体活动部署(一)开展“讲合规重规范做表率”评比活动市联社在辖内组织开展“讲合规重规
20、范做表率”的评比活动，评选“合规先进个人”，树立合规典型，各单位要引导全体员工向身边的典型学习，对标定位，学赶先进，营造良好的合规文化氛围。(二)“合规守法大家谈”活动为激发广大员工合规守法的意识，使“合规人人有责”的理念植入人心，让广大员工的合规观念由原来“要我合规”转变为“我要合规”，市联社在辖内组织开展“合规守法大家谈”活动。一是创办合规活动简报，报道“合规文化建设年”活动进程及选登优秀文章；二是围绕“合规守法大家谈”的活动专题，组织开展征文竞赛、演讲、辩论、座谈等形式多样、丰富多彩的活动；三是联社将近两年来银监部门、省联社下发的有关合规方面的文件编印成册和省联社*理事文档编码:CQ2E
21、6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2
22、E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ
23、2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:C
24、Q2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:
25、CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码
26、:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编
27、码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3长编写的农村中小金融机构全面风险管理机制建设一书发给员工每人一册，将数据大集中后所有的制度
28、汇编成册，为“合规守法大家谈”活动创造条件。三)重塑制度流程，为流程银行建设打基础1、梳理制度，保证制度有效性。从今年5 月下旬开始，各社、部要用 2-3 个月时间由合规部牵头，组织人员对已制定的规章制度进行全面系统的梳理和评估，确保内部管理各项规章制度的合规性和有效性。同时要及时对各项政策、管理办法和操作程序等进行后评价，不断完善自身制度体系，保证各项规章制度能适应本机构业务创新和改革发展等各方面的合规要求。(2)为优化、再造流程打好基础，强化制度执行力。各部室要结合本业务条线的各项规章制度的梳理、整合和完善以及流程银行建设等基础性工作要求，对相关的业务流程和管理流程进行优化或再造，制定和完
29、善流程操作规范及标准，保证各项规章制度通过流程予以落实和执行。(四)查风险、建机制，实施全面风险管理1、结合“三项整治”活动进行合规风险排查。从今年5 月开始，文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:
30、CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码
31、:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编
32、码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档
33、编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文
34、档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3
35、文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B
36、3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3结合银监会提出的“抵质押贷款风险排查，借名、假冒名贷款专项整治，置换、核销不良贷款排查清理”等“三项整治”活动，进一步深挖风险隐患，堵塞风险漏洞。2、结合案件防控治理工作落实各项合规要求。从今年 5 月开始，结合省联社提出的案件防控治理工作实施方案要求，全面开展合规自查，对各业务条线及管理条线的风险点进行梳理、排查，针对发现问题要分门别类制定详细整改方案，强化风险管理措施，并跟踪复查。通过检查、整改，进一步落实银监会防范操作风险的“十三条”措施，强化案件风险防范“四项制度”等案防制度、合规要求的执行。3、稳
37、步推进全面风险管理机制建设。针对合规风险排查情况，结合银监会农村中小金融机构监管工作会议要求，我们要积极创造条件，探索和实施巴塞尔新资本协议，持续和深入开展内部评级、经济资本分配、资金转移定价、市场风险内部模型、操作风险内部计量等风险计量技术的研发和运用工作，理顺全面风险管理组织分工，完善全面风险管理运行体系，逐步建立全面风险管理长效机制，探出一条从流程合规走向全面风险管理的新路子，切实提高合规管理和风险控制能力。(五)抓纠错、明责任，提高合规管理有效性文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X1
38、0P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X
39、10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7
40、X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U
41、7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10
42、U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M1
43、0U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M
44、10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3我们要通过“合规文化建设年”活动，在辖内上下建立起有效的合规激励表彰机制，营造良好的全员合规氛围，对合规工作做得好或对举报、抵制违规有贡献者要给予保护、表扬和奖励；对存在隐瞒违规问题、知规犯规者，要严格追究责任；进
45、一步落实违规事项职责“五问”，包括经办人职责、领导人职责、前任职责、检查人员职责、用人职责，坚持做到“谁违规、谁负责”；要建立起违规问题和缺陷的处理纠正机制，合规部门、稽核审计部门等对合规性检查中发现的违规问题和评价结果要提出相应的整改意见和纠正措施，并督促相关部门及业务条线及时整改；要通过强有力的稽核审计和纪检监察处理手段，强化合规问责，把好最后一道关口。四、分步实施、有序推进(一)宣传发动、部署动员阶段(4 月下旬 5 月下旬)根据银监会相关精神，结合省联社*理事长在今年 4 月 11日召开贯彻落实全国农村中小金融机构监管工作会议精神(视频)大会有关开展“合规文化建设年”活动的要求，我社拟
46、在5 月下旬召开“合规文化建设年”活动启动大会，广泛发动，大力宣传，全面部署工作目标、落实措施及要求，借助文件、内刊、网络等内部各种宣传渠道，多层次、多维度、多形式进行宣传，营造“抓合规、建机制、防风险、促发展”的合规氛围。文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C1
47、0 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C
48、10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4
49、C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P
50、4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2P4C10 HV4M10U7X10P1 ZM9S8J4T8B3文档编码:CQ2E6P2