Banks are businesses that deal in the giving and receiving of credit. Their credibility is hard to build up yet can be ruined in a trice. Their survival and development must, of course, depend on the continuous growth of their business in pursuit of creating profit. But if neglect of internal control results in malpractice and depletion of assets, the fruit of all their effort will be reduced to nothing all at once.
To help financial institutions ensure the soundness of their internal control, and most rapidly obtain all the information needed to take the requisite internal control and audit test. Taiwan Academy of Banking and Finance (TABF) has specially arranged for the compilation in this book of all related laws and regulations translated into English. We trust that this book will serve not only as a helpful tool for test preparation, but also as a valuable source of reference and instruction for all bank officers in their day-to-day work.
目 錄
1. The Banking Act of the Republic of China
2. Financial Holding Company Act
3. Implementation Rules for Bank Internal Audit and Internal Control System
4. Regulations Governing Establishment of Internal Control Systems by Public Companies
5. Regulations Governing the Procedures for Banking Institutions to Evaluate Assets and Deal with Non-performing/Non-accrual Loans
6. Regulations Regarding Article 7 of the Money Laundering Control Act (Cash Transactions)
7. Regulations Regarding Article 8 of the Money Laundering Control Act
8. Regulations Governing Institutions Engaging In Credit Card Business
9. Regulations Governing the Declaration of Foreign Exchange Receiptsand Disbursements or Transactions
10. Regulations Governing the Handling of Counterfeit Foreign Coins and Notes
11. Directions for Banks Conducting Financial Derivatives Business
12. Directions Governing Limitations on Types and Amounts of the Securities in which a Commercial Bank May Invest
13. The Act Governing Bills Finance Business (Excerpt)
14. Enforcement Rules for the Act Governing Bills Finance Business (Excerpt)
15. Securities and Exchange Act (Excerpt)
16. Regulations Governing Securities Firms (Excerpt)
17. Regulations Governing Responsible Persons and Associated Persons of Securities Firms (Excerpt)
