金融机构反洗钱有效性评价指标体系构建研究  

Research on the Establishment of Evaluation Index System for AML Effectiveness of Financial Institutions

作　　者：王宝运[1] 

机构地区：[1]中国人民银行济南分行,山东济南250021

出　　处：《金融理论与实践》2018年第3期33-38,共6页Financial Theory and Practice

摘　　要：积极开展金融机构反洗钱有效性评价成为反洗钱国际组织和监管部门的一项重要任务。综合考虑反洗钱有效性评价标准和反洗钱工作实际,确定了以反洗钱机制、组织建设和技术保障情况,反洗钱核心义务履职情况,洗钱风险预防和控制成效3个因素集为基础的金融机构反洗钱有效性三级评价指标体系,弥补了目前我国反洗钱有效性评价指标体系研究的不足,为金融机构反洗钱有效性评价提供了科学的指标体系。The evaluation of the effectiveness for anti-money laundering of financial institutions has become an important task for the international organizations and supervisory authorities of AML.Considering the evaluation standards for the effectiveness of AML and the actual anti-moneylaundering work,we determined the three types of financial services based on the three elements of anti-money laundering mechanism,organizational construction and technical support,performance of anti-money laundering core obligations,prevention and control of money laundering risk.The threelevelevaluation index system for the effectiveness of the anti-money laundering mechanism makes up for the shortcomings of the current AML evaluation index system and provides a scientific index system for the evaluation for the effectiveness of the AML.

关 键 词：反洗钱有效性 金融秩序 融资风险 

分 类 号：F832.21[经济管理—金融学]