Ding Peng, correspondent of Qilu One Point
Recently, Bank of China Rizhao Branch held the “Compliance Season” kick-off meeting to convey the spirit of the “Compliance Season” meeting of the superior bank and activity plan, and mobilized the Rizhao branch’s “compliance season” activities. Rizhao branch leaders, senior managers and heads of various departments attended the meeting at the main venue, and the presidents and vice presidents of operations of each sub-branch attended the meeting via video.
This “Compliance Season” activity will focus on inspections: credit business, financial operations, product services, and internal control and case prevention, with a total of ten special inspection items. The meeting required that to carry out the “compliance season” activities well, it is necessary to highlight the key points, make overall plans, grasp the “three enhancements”, and implement the “three combinations”.
The “three enhancements” are: First, strengthen linkage and cooperation and mobilize all staff to participate. All units should give full play to their subjective initiative, strengthen communication and cooperation, and form work synergy; and carry out good publicity and training, so that every employee knows the requirements of the activity, and forms a good compliance atmosphere. The second is to strengthen execution and do a good job in process management. All units should conscientiously implement the requirements of the activities, do a good job in the prescribed actions, and carry out various forms of distinctive activities in accordance with their own actual conditions. The third is to strengthen rectification and strict accountability. It is necessary to adhere to the principles of “whoever has the problem, whoever rectifies, who is responsible” and “substance over form”, seriously organize rectification and accountability, and strictly prevent going through the motions and becoming mere formality.
“Three Combinations” means: First, it must be combined with regulatory requirements. The implementation of regulatory policies, inspection issues, comprehensive regulatory evaluation and prudential meeting rectification are included in the “compliance season” inspection content, daily strengthen communication and reporting with regulators, and effectively enhance regulatory reputation with practical actions. Second, it must be integrated with the daily internal control and compliance work. All units should properly handle the “compliance season” activities and regular work relationships, and make overall arrangements and promote them as a whole. They should not only highlight the key points of the “compliance season” work, but also implement daily internal control and compliance work. The third is to combine with the promotion of compliance culture construction. By organizing warning education, compliance publicity, “Golden Ideas for Internal Control and Compliance” competition and selection of “Compliance Guardians” and other content-rich and vivid activities, the compliance culture has been cultivated and the awareness of compliance has been further immersed in the mind.
Bank of China Rizhao Branch stated that it will take this “compliance season” as an opportunity to further consolidate the foundation of internal control and case prevention, improve the level of compliance management, and truly realize “compliance creates value and compliance helps development.” “.