The Laws and Regulations of Bank Internal Control (2022)

內容簡介

本書為英文版銀行內部控制與內部稽核測驗參考用書，即日起僅提供電子書。

To enable foreign banking personnel in Taiwan to easily and most rapidly obtain all the information needed to take the requisite internal control and audit test, Taiwan Academy of Banking and Finance (TABF) publishes this book with all related laws and regulations translated into English. We trust that this book will not only be helpful for test preparation, but also as a valuable reference for all bank officers. This edition has updated the regulations collected in this book, promulgated by the Financial Supervisory Commission, the Central Bank and Taipei Exchange by June, 2022. So as to meet the practical demand of bank officers.

為幫助金融機構確保其內部控制的健全性，並使台灣外資銀行人員迅速瞭解相關法令規範，台灣金融研訓院（TABF）特彙編政府公告之相關法令和規範，以提供讀者銀行內部控制與內部稽核測驗(英文版)參考及日常業務使用。(本書截至2022年6月份前之政府最新公告之英文版法令。)

1. The Banking Act of the Republic of China

2. Financial Holding Company Act

3. Implementation Rules of Internal Audit and Internal Control System of Financial Holding Companies and Banking Industries

4. Regulations Governing the Procedures for Banking Institutions to Evaluate Assets and Deal with Non-performing/Non-accrual Loans

5. Regulations Governing the Security Maintenance and Administration of Financial Institutions

6. Regulations Governing the Deposit Accounts and Suspicious or Unusual Transactions

7. Regulations Governing Anti-Money Laundering of Financial Institutions

8. Regulations Governing Institutions Engaging In Credit Card Business 9. Directions Governing the Cash Card Business of Financial Institutions

10.Guidelines for Financial Institutions in Setting Tiered Interest Rates for Credit Cards and Cash Cards

11.Regulations Governing the Declaration of Foreign Exchange Receipts and Disbursements or Transactions

12.Regulations Governing the Handling of Counterfeit and Altered Foreign Currency Notes and Coins

13.Regulations Governing Internal Operating Systems and Procedures for Banks Conducting Financial Derivatives Business

14.Directions Governing Limitations on Types and Amounts of the Securities in which a Commercial Bank May Invest

15.The Act Governing Bills Finance Business (Excerpt)

16.Enforcement Rules for the Act Governing Bills Finance Business (Excerpt)

17.Regulations Governing Responsible Persons and Staff Members of Bills Houses (Excerpt)

18.Securities and Exchange Act (Excerpt)

19.Regulations Governing Securities Firms (Excerpt)

20.Regulations Governing Responsible Persons and Associated Persons of Securities Firms (Excerpt)

21.Taipei Exchange Rules Governing Securities Trading on the TPEx (Excerpt)

22.Financial Consumer Protection Act

EXERCISE

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