Internal control of fund managers

1. Principles and objectives of internal control

1.1. The importance of strengthening the internal control of fund managers

1.2. The basic concept and meaning of internal control

1.2.1. Internal control

1.2.2. Risk management

        1. Internal environment

        2. Goal setting

        3. Event identification

        4. risk assessment

        5. Risk response

        6. Control activities

        7. Information and communication

        8. Behavior monitoring

1.3. Three objectives of internal control

1.3.1. Compliance with laws and regulations , Industry regulation rules

1.3.2. Prevent and resolve business risks , Improve the efficiency of operation and management

1.3.3. Guarantee fund , The financial and other information of the fund manager is true , accuracy , complete , In time

1.4. Five principles of internal control

1.4.1. sanity

1.4.2. effectiveness

1.4.3. independence

1.4.4. Mutual restriction

1.4.5. Cost effectiveness

2. Internal control mechanism

2.1. meaning

2.2. Basic elements of internal control

2.2.1. Control the environment

2.2.2. risk assessment

2.2.3. Control activities

2.2.4. Information communication

2.2.5. Internal monitoring

3. Internal control system

3.1. summary

3.2. Internal control outline

3.3. The basic management system

3.4. Department rules

3.5. Business operation manual

4. Main contents of internal control

4.1. Investment management business control

4.1.1. Study the main contents of business control

4.1.2. The main content of investment decision-making business control

4.1.3. The main contents of fund trading business control

3.2. Sales business control

3.3. Information disclosure control

3.4. Information technology system control

3.5. Remember system control

3.6. Supervision and audit control