Risk Research Report on Investment Banking in Commercial Banks

Content

Preface

Chapter One: Status Quo of Banking Investment in Commercial

                      Banks

Part One: Basis for the Running of Banking Investment in Commercial

               Banks

I.    Adjustment of Separate Operation Policy

II.   Status Quo of Banking Investment in Commercial Banks in China

Part Two: Operable Business Categories of Banking Investment for

                Commercial Banks in China

I.    Project Financing

II.   Merger and Acquisition Consulting

III.   Trust Financing and Financial Advising

IV.   Investment Consulting and Investment Agent Service

V.    Fund Research

VI.   Debt Financing

VII.  Asset Securitization

Chapter Two: Risks in Banking Investment

Part One: Lack of Legal Permission

I.    Improper Punishment Due to Excessive Right of Discretion of

      Supervision Departments

II.   Uncertainty of Rights & Obligations between Commercial Bank

      and Clients

Part Two: Conflict between Product Innovation and Legal Provisions

I.    Conflict between Innovation of Product and Retardation of

       Laws

II.   Charges’ Risks of Banking Investment

III.  Conflict between Current Laws in China and International

      Conventions

Part Three: Risks in Credit Law

Chapter Three: Risk Research Project on Banking Investment

                         In Commercial Banks

Part One: Risk Control via HR Research

I.    Recruitment of Appropriate Operating Personnel in Banking

      Investment

»    Set up Effective Talent Recruitment and Reservation Project

»    Choose Proper Recruitment Channels

»    Optimize Talent Evaluation System

II.   Regular Training for Operating Personnel of Banking Investment

»    Professional Skill Training

»    Training on Laws and Regulations Related to Banking Investment

Part Two: Establishment of Risk Control Mechanism

I.    Insist on the Principle of “A behavior Shall be Regarded as Illegal in

      Case of No Explicit Permit Prescribed by Law”

II.   Enhance the Mechanism of Legal Functional Department

»    Improve the Occupational Skills of Grass-root Legal Professionals

»    Strengthen Examination and Review on Contract Documents

Part Three: Risk Control in Banking Investment Innovation

I.    Perfect the Constitution Document of Innovative Service

II.   Establish Pre-warning Mechanism for Innovative Service

III.  Proper Connection to International Conventions and Timely Review

     and Filing on Project

Part Four: Countermeasures against Financial Revenue Risk in

                Investment Banking

I.    Set up Special Auditing Organization

II.   Keep Financial Revenue on Accounting Record

Chapter Four: Development Trend and Countermeasures of

                       Investment Risk of Commercial Banks

Part One: Prediction on Development Trend of Investment Risk in

               Commercial Banks

I.    Improvement of State Policies.

II.   Perfection of Legal Supervision System

III.  Adjustment of Industry Market Order

Part Two: Prediction on the Variety of Banking Investment

Part Three: Countermeasures on New Investment Risks in

                 Commercial Banks

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