合规题库(汇总).pdf

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1、*单选题1、建立有效的（D），严格对违规行为的责任认定与追究，并采取有效的纠正措施，及时改进经营管理流程，适时修订相关政策、程序和操作指南。A.绩效考评制度 B.诚信举报制度 C.利益分配制度 D.合规问责制度2、（D）是员工所有职业行为的前提。A.廉洁自律 B.进取创新 C.精细认真 D.守法合规3、坚持（B），要本着为自己的职业生涯和家庭负责的态度，做到清正廉洁，坚守底线。A.感恩奉献 B.廉洁自律 C.团队协作 D.精细认真4、坚持（A），服从领导，听从指挥。在工作中做到不找任何借口，加强责任心，对交办的工作不打折扣、不找借口、不搞变通，千方百计高效高质完成任务。A.高效执行 B.恪尽职

2、守 C.认真负责 D.谦虚谨慎5、员工应当培养正直的品行，将（A）的核心价值观贯穿于职业行为的始终。A.诚信 B.创新 C.协作 D.卓越6、公司授信不良资产责任认定工作遵循“有责必究、尽职免责、客观公正、（D）”的原则。A.逐笔调查 B.实事求是 C.依法依规 D.认责有据7、相关人员主观上存在一般过失或疏忽，未能完整有效地履行其岗位职责，应发现或未发现业务中存在的风险，导致不良资产产生的行为指的是（B）。A.渎职 B.未尽职8、严禁长款隐匿，短款自补不报，或以长补短，属于（C ）十禁行为之一。A.放款操作 B.会计经理 C.柜员 D.客户经理9、案件中不涉嫌触犯刑法，但存在其他违反法律法规

3、、监管规章及规范性文件、自律性组织制定的有关准则以及本行内部规章制度的行为，且该违法违规行为与案件发生存在联系的直接责任人指的是（C）A.作案人员 B.管理责任人C.相关违法违规行为的实施人或参与人 D.监督责任人10、与客户（或他人）串通，参与（或配合）其利用银行资金从事不正当资金交易是公司授信业务中（A）环节相关人员的责任行为。A.授信调查 B.授信审查 C.授信审批 D.贷后管理11、自查发现、主动揭露案件的，应当给予（B）处理 A.从重 B.从轻 C.免责*多选题1、我行倡导并在全行推行（A）、（C）的行为准则和价值观，培育全行员工的合规守法意识，确立及推行合规理念。A.诚信 B.诚实

4、 C.正直 D.高效2、合规部门要保持与监管机构日常的工作联系，跟踪和评估（A）和（D）的落实情况。A.监管意见 B.监管措施 C.监管制度 D.监管要求3、问责应遵循（ABCD ）的原则。文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V

5、6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文

6、档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC

7、3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A

8、7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM

9、5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1

10、H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 Z

11、O10Y2V6R5E3 A.谁主管谁负责 B.谁审批谁负责C.谁签字谁负责 D.谁经办谁负责4、对有关责任人进行问责处理的方式包括：（A）、（B）、（C）。A.经济处罚 B.组织处理 C.纪律处分 D.批评教育5、严禁以（ABC ）等手段骗取资金设立“小金库”。A.假发票 B.假合同 C.假票据6、内幕交易规定，禁止以下行为，包括但不限于：（ABCD ）A.将内幕信息以明示或暗示的形式告知法律和所在机构允许范围之外的人员 B.在不适当场合谈论在行内属于保密或控制知情范围的信息 C.利用内幕信息获取个人利益D.基于内幕信息为他人提供理财或投资方面的建议7、案件问责的程序包括（ABCDE ）。A.

12、启动问责 B.实施调查 C.认定责任 D.做出处理决定E.执行处理决定等8、案件问责范围包括本行管理权限内（A）和（C）。A.直接建立劳动关系的员工 B.非全日制员工C.劳务派遣制员工文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5

13、E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码

14、:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5

15、V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9

16、 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E1

17、0V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O

18、4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10

19、Y2V6R5E39、向客户推荐产品或提供服务时，禁止以下行为，包括但不限于：（ABCD ）A.为达成交易而隐瞒风险或进行虚假、误导性陈述 B.在业务活动中明示或暗示诱导客户规避金融、外汇监管规定 C.向客户做出不符合有关政策法规及我行规章制度的承诺或保证D.诱导客户购买与其风险认知和承受能力不符的产品10、按照勤俭办行的原则，严格自律，不得申报不实费用，报销与我行业务无关的费用，包括但不限于（ABCD ）A.用公款支付应当由本人或亲友个人支付的费用 B.用公款游山玩水或以学习考察等名义出国（境）公款旅游 C.上下级机构及工作人员之间、行内部门之间用公款相互宴请或赠送礼品D.使用错误或无关的发票

20、报销11、不得收授（ABCD ）等违反商业习惯的礼物。A.现金 B.贵金属 C.消费卡 D.有价证券*判断题1、全体员工都是合规经营的践行者和直接责任人。（）2、禁止以员工亲友名义注册企业，但实际控制人或经营管理人可以为员工本人。（）3、严禁授意请托人以各种形式，将有关财物给予特定关系人。（）4、上班时间，可以买卖股票、操作期货、买卖权证及其他相关行为。（）5、经客户允许，可以代客户保管银行卡、存折、存单，设置/重置/输入密码、文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3

21、文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:C

22、C3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5

23、A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 H

24、M5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V

25、1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4

26、ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2

27、V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3办理网上银行等业务。（）6、合规是指银行的业务经营活动应与所适用的法律、行政法规、部门规章及其他规范性文件、经营规则、自律性组织的行业准则、行为守则和职业操守等相一致。（）7、业务关联方给予的合法折扣、佣金或其他奖励，可以自己掌握处理。（）8、不得以任何形式参加民间借贷、违规担保、非法集资活动，不得充当资金掮客。（）9、严禁以虚列利息

28、支出、佣金手续费、业务及管理费、赔付退保支出等套取资金设立“小金库”。（）10、离职人员对离职前的案件发生负有责任的，本行应当对其作出责任认定，并报告监管机构，案件责任人仍在银行业金融机构任职的，应当将认定结果及拟处理意见移送离职人员现任职单位。（）11、未经授权或批准，不得擅自代表所在机构接受新闻媒体采访，或对外发布信息。（）*填空题1、公司授信不良资产是指根据相关制度规定，经相关风险分类程序被认定为次级类、可疑类和损失类的公司类授信资产。2、全面遵循金融法规条例和规章制度及操作流程，依法合规开展经营管理和发展业务，做到人人合规、事事合规、时时合文档编码:CC3R5V5A7B9 HM5E10

29、V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4

30、 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y

31、2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E

32、3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:

33、CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V

34、5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9

35、HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3规。合规控制成本、降低风险、创造效益。3、会见、邀请客户应在工作场所或符合商业习惯的场所。4、坚持客户至上、客观公正原则，不轻慢任何投诉和建议。5、遵守反洗钱有关规定，熟知银行承担的反洗钱法定义务，在严守客户隐私的

36、同时，及时按照我行要求，报告大额和可疑交易。6、禁止违规搭售，通过协议或其他方式向客户施加不公平的义务。7、合规风险是指银行因未能遵循法律、监管规定、规则和准则，而可能遭受法律制裁、监管处罚、重大财务损失或声誉损失的风险。8、依据员工的主观故意、客观行为及产生后果等要件，将问责情节分为重大、严重、一般、轻微四个等级。被问责人涉及多项问责事由，同时违反多项管理规定的，可以依照处理较重的规定，从重处理。9、为打造银行百年老店，我们必须严守银行经营管理原则，严格按照“八个坚持”要求，回归安全性、流动性、效益性的“三性”原则，回归铁账本、铁算盘、铁规章的“三铁”要求，回归贷前调查、贷时审查、贷后检查的

37、“三查”制度，回归前台、中台、后台“三分离”的内控安排。文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5

38、E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H

39、4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO

40、10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6

41、R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档

42、编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3文档编码:CC3R5V5A7B9 HM5E10V1H4O4 ZO10Y2V6R5E3