Three measures for case prevention and control

Legal analysis: Clarify the division of responsibilities and implement case prevention responsibilities. Improve the institutional system and enhance system execution. Organize case risk investigation and carry out special management. Conduct trial evaluations of crime prevention work to stimulate endogenous motivation. Strengthen internal supervision and inspection and implement violation points management. Carry out theme activities and strengthen employee education and management.

Legal basis: "Opinions of the General Office of the China Banking Regulatory Commission on the Prevention and Control of Cases in the Banking Industry in 2014" 1. Improve the system and mechanism to enhance the effectiveness of case prevention work (1) Clarify the division of responsibilities and implement them Case prevention responsibility. All banking financial institutions must effectively fulfill the responsibilities of the main body responsible for case prevention and control, clarify the responsibilities of the leading department for case prevention work, clarify the boundaries of case prevention responsibilities between the leading department for case prevention and business, risk control, internal audit and other departments, and ensure that all departments, superiors and subordinates Institutional case prevention rights and responsibilities are clear and responsibilities are implemented. (2) Improve the institutional system and enhance system execution. All banking financial institutions must establish a system management system to evaluate, revise and update various internal systems based on business development needs, risk characteristics and regulatory policy changes to ensure that the system covers all business areas and management links. Strictly implement various systems, carry out supervision and inspection of system implementation, and improve the effectiveness of internal control. (3) Organize case risk investigation and carry out special management. All banking financial institutions must combine their own business characteristics and risk status, organize and carry out case risk investigation focusing on credit, bills, cross-industry cooperation and abnormal employee behavior, implement investigation responsibilities, and carry out investigation on key risks and outstanding issues discovered during the investigation. Special management. Banking financial institutions must organize and carry out supervision, guidance and spot inspections, strengthen the exchange and sharing of inspection information, link up and down, form a normalized risk inspection mechanism with their own characteristics, and report inspection results to regulatory agencies on a quarterly basis. All banking regulatory offices should strengthen supervision and inspection and report the investigation status to the CBRC on a quarterly basis. (4) Conduct trial evaluations of case prevention work to stimulate endogenous motivation. All banking financial institutions should carry out a trial evaluation of the 2013 crime prevention work focusing on the organization, system and quality control of the crime prevention work, execution of the crime prevention work, supervision and inspection, assessment and accountability, etc., and refine the 2013 crime prevention work in accordance with the principle of legal person responsibility. Branch self-assessment job requirements. It is necessary to identify weak links in internal control management and case prevention through evaluation, and strictly implement rectifications. Regulatory authorities should promptly conduct regulatory evaluations of the trial evaluations of banking financial institutions. (5) Strengthen internal supervision and inspection and implement point management for violations. Banking financial institutions must follow the principles of focus, coordination and linkage between departments, effectively play the role of business lines, compliance management and risk control departments in case prevention work, and strengthen audit supervision. At the same time, we will study and establish an operational violation point management system covering all business processes to prevent the slightest change and strengthen operational risk management. (6) Carry out theme activities and strengthen employee education and management. Organize and carry out employee management themed annual activities to effectively improve and strengthen employee management. All banking financial institutions should regard employee education and training as an important part of case prevention work, systematically and comprehensively carry out employee job specifications and business process education, clarify the responsibilities for illegal operations, carry out professional ethics education, and cultivate employees' honest and trustworthy professional ethics. ; Strengthen the construction of compliance culture, enhance the compliance awareness of managers at all levels, and create a compliance atmosphere in which "compliance starts from the top, everyone is responsible for compliance, and compliance creates value."