20 19 Report on Case Prevention and Compliance Management in the Second Quarter

In the second quarter of 2065438+2009, * * Sub-branch made every effort to promote the development of various businesses with compliance as the goal and risk prevention as the focus. The work in the second quarter is reported as follows:

First, first and second quarters of the case prevention and control and compliance management due diligence activities.

First, the county held the 20 19 second quarter case prevention and control work meeting, the anti-money laundering work leading group meeting and the consumer rights protection work meeting, which solved the problems submitted by this meeting and made arrangements for the prevention and control of financial cases. Focus on studying the Notice on Financial Capital Cases in 20 18 issued by the superior bank for all staff to ensure the effective implementation of the case prevention and control work of the whole bank. Second, the project of "Prevention and Warning Education of Financial Cases" was continuously carried out to raise the awareness of every employee of the Bank on case prevention, so as to make the financial order of the Bank develop steadily. The third is to set up a joint leading group for the activity of "consolidating the achievements of the rectification and promoting compliance construction" and formulate an implementation plan for the activity. In the plan, the problems found in the self-inspection and supervision of deepening market chaos on 20 18 were self-examined.

Investigate the self-inspection of chaos management in banking institutions on 20 19;

Check the adequacy and effectiveness of internal control. No major problems and hidden dangers were found during the investigation.

Two. Important project work of case prevention and control and compliance management

Since the second quarter of 20 19, related activities have been carried out according to the arrangement of "county-wide financial case warning education" activities by city and county banks. First, the Bank has studied the Circular on Financial Fund Cases in 20 18 in the form of holding meetings of various departments and behavior units, and all employees should check and reflect on their own problems from the perspective of ideological and work reality, and make a reflection on this line. Second, on June 20, the county bank organized middle-level and above managers and key personnel to visit the prison for warning education according to the municipal bank. The bank's managers set an example, guiding the employees of the bank to calculate the "business account", "family account" and "life account", which improved the ability of employees to self-discipline, standardize their operations and resist temptation. Third, organize the employees of the whole bank to carry out the "all employees stress compliance" activity. All counties, branches and branches of banks gave speeches on "compliance stories around us" respectively, and explained them in combination with their own posts. Among them, the compliance story written by Comrade * * of our bank is true and profound, and it is reported to the municipal bank as an excellent story. Fourth, do a good job in financial knowledge publicity activities. County banks enter city gates, squares, enterprises and communities to popularize financial knowledge. By distributing publicity pages, placing exhibition boards and hanging publicity banners to the masses and employees, the general public and enterprise employees are guided to understand financial knowledge such as preventing telecom fraud, illegal fund-raising and anti-money laundering, which enhances their understanding of financial knowledge and improves the visibility of banks. All outlets use led screens and advertising machines, set up information desks, put up posters, publish telephone numbers and email addresses for continuous publicity, and give patient and meticulous answers to customers who come to consult. Through this activity, financial consumers were effectively helped to accurately understand the risks of financial products, consumers' awareness of self-protection and the public's ability to identify and guard against financial risks were improved, a good image of banks in fulfilling their social responsibilities in service was established, and the steady development of the financial industry was promoted.

Three. Effect of case prevention and control and compliance management

Through this warning education activity, the awareness of our cadres and employees to prevent cases has been obviously improved. The concept of "compliance starts with me, compliance is everyone's responsibility, and compliance creates value" has penetrated into the actions of employees. Postal depositors in our county are more confident that there will be no major risk events and cases in 20 19 years.

Fourth, the main problems at present

First, in business operation, the mastery of business systems needs to be further strengthened. Second, after the risk investigation and self-inspection activities were carried out, the business situation of the investigation was not explained in detail.

Verb (abbreviation for verb) What to do next

First, further strengthen the study of business system, conscientiously implement the requirements of superior activities, better raise the awareness of compliance management, and form a good atmosphere of compliance for all employees;

Second, strictly and conscientiously do a good job in personnel investigation, ensure timely grasp of employees' ideological trends, and list the investigation results in detail;

The third is to firmly establish the awareness of risk, responsibility and rules, strengthen compliance management and improve compliance performance. Ensure that 20 19 has no major violations of laws and regulations and no cases.