投资管理公司内部控制管理制度
Investment Management Company's Internal Control Management System
Chapter 1 General ns
XXX the internal control of the company。promote legal and effective n。safeguard the interests of investors and shareholders。XXX and ns。this system is XXX.
The internal control of the company refers to the system arrangement。nal structure。and control measures that the company puts in place to identify。evaluate。and manage risks in the management process。in order to prevent and resolve risks。ensure the legal and compliant n of all business。and achieve
XXX the internal and external environment.
The XXX the internal control system of the company。and
the management of the company is XXX of the internal control system.
Chapter 2 Objectives and Principles of Internal Control
XXX of the internal control of the company are:
1.Strictly abide by XXX。XXX.
2.Prevent and resolve nal risks。improve management efficiency。ensure the stable n of business and the safety and integrity of entrusted assets。and achieve the sustainable。stable。and healthy development of the company.
3.XXX。accuracy。completeness。and timeliness of the managed funds。company finances。and other n.
XXX following principles should be followed in the internal control of the company:
1.Integrity principle。The internal control should cover all business。departments or ns。and personnel of the company。and cover all aspects of n-making。n。n。and feedback.
2.Effectiveness XXX of the internal control system.
3.XXX of the company should be relatively independent。and the n of the company's fund assets。self-owned assets。and other assets should be separated.
4.Mutual restraint principle。The setting of internal departments and ns of the company should be clear in terms of rights and responsibilities。and there should be mutual restraint.
5.Cost-effectiveness principle。The company should use scientific management methods to ce operating costs。improve economic efficiency。and achieve the best internal control effect with reasonable cost control.
Chapter 3 XXX
The main elements of internal control include control environment。risk assessment。control activities。XXX。XXX.
The XXX of the internal control of the company。which includes management philosophy and internal control culture。corporate governance structure。nal structure。and XXX.
The company's management should firmly XXX of internal control rity and risk management。cultivate the risk n awareness of all employees。create a strong internal control XXX。ensure that all employees understand nal laws and ns and company rules and ns in a timely manner。and make risk awareness run through all departments。ns。and links of the company.
The company should follow the principle of specialized n。clarify the main business。and not XXX interest.
