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題名:證券從業人員法規遵循認知研究
書刊名:會計與財金研究
作者:詹德恩 引用關係
作者(外文):Chan, Dan T. E.
出版日期:2012
卷期:5:2
頁次:頁51-67
主題關鍵詞:金融犯罪證券業法規遵循Financial crimeSecurities industryCompliance
原始連結:連回原系統網址new window
相關次數:
  • 被引用次數被引用次數:期刊(5) 博士論文(0) 專書(0) 專書論文(0)
  • 排除自我引用排除自我引用:1
  • 共同引用共同引用:6
  • 點閱點閱:25
金融犯罪係發生在金融業,或與金融相關的犯罪。如同流感對於人類,一段時間就會復發或再次感染。不僅侵害投資人、客戶的財產法益,破壞資本市場的秩序,斲傷國家經濟發展,嚴重者甚至會損害國家整體形象。金融犯罪發生與否,就內部控制概念而言,自與機構由負責人至員工是否遵行法令規範有非常大的關聯。本研究先編製衡量證券業從業人員法規遵循之問卷,經過專家審查調整後,完成「證券業從業人員對法規遵循認知之問卷」俟對證券業年資10年以上高階經理人進行施測後,以DEMATEL方法,分析影響證券商從業人員法規遵循之關鍵因素,調查結果發現,機構責任認知是影響證券業從業人員對法規遵循認知的最重要因素。
Financial crimes may happen in financial industry or use financial institutions as channels. Financial crimes affect interests of investors and have a negative impact on the order of capital markets. There may be serious and long-term consequences to a country's economic developments and its image as a whole. Internal control is the foundation of financial crime prevention. An effective internal control requires a solid comprehension and ability to comply with all regulations, rules, and policies by employees at financial institutions. This study uses DEMATEL mode to analyze employees of securities firms in their comprehension of regulatory compliance. The result of the study demonstrates that employees' comprehension level is greatly impacted by the perception of securities firms in their own obligation and responsibilities.
期刊論文
1.詹德恩(20040600)。談國際防制洗錢趨勢--FATF 2003四十項建議。臺灣金融財務季刊,5(2),147-165。new window  延伸查詢new window
2.慶啟人(20071000)。論人頭帳戶之刑事處罰。全國律師,11(10),85-98。  延伸查詢new window
3.Hori, S.、Shimizu, Y.(2006)。Designing methods of human interface for supervisory control systems。Control Engineering Practice,7(11),1413-1419。  new window
4.Seyed-Hosseini, S. M.、Safaei, N.、Asgharpour, M. J.(2006)。Reprioritization of failures in a system failure mode and effects analysis by decision making trial and evaluation laboratory technique。Reliability Engineering and System Safety,91,872-881。  new window
5.Wu, W. W.(2007)。Choosing knowledge management strategies by using a combined ANP and DEMATEL approach。Expert Systems with Applications。  new window
6.王志誠(20070200)。金融重大交易之法律風險及控制。全國律師,11(2),5-13。  延伸查詢new window
7.Wu, W.-W.、Lee, Y.-T.(2007)。Developing global managers' competencies using the fuzzy DEMATEL method。Expert Systems with Applications,32(2),499-507。  new window
8.Liou, James J. H.、Yen, Leon、Tzeng, Gwo-Hshiung(2008)。Building an effective safety management system for airlines。Journal of Air Transport Management,14(1),20-26。  new window
9.Tzeng, Gwo-Hshiung、Chiang, Cheng-Hsin、Li, Chung-wei(2007)。Evaluating intertwined effects in e-learning programs: A novel hybrid MCDM model based on factor analysis and DEMATEL。Expert Systems with Applications,32(4),1028-1044。  new window
會議論文
1.Su, Y. K.、Zhang, S. J.(2007)。The Analysis of the Mutual Influence between the Work Safety Process Areas of Construction Company。ICMSE 2007 International Conference on Management Science and Engineering,2363-2368。  new window
圖書
1.曾令寧、黃仁德(2006)。現代銀行監理與風險管理。台北:台灣金融研訓院。  延伸查詢new window
2.Manning, George A.(2005)。Financial Investigation and Forensic Accounting。CRC Press。  new window
3.Stessens, Guy(2000)。Money Laundering: A New International Law Enforcement Model。Cambridge:Cambridge University Press。  new window
4.International Organization of Securities Commissions(2006)。Compliance Function At Market Intermediaries Final Report。IOSCO。  new window
5.Tsai, W. H.、Chou, W. C.(2008)。Selecting management systems for sustainable development in SMEs: A novel hybrid model based on DEMATEL, ANP, and ZOGP, Expert Systems with Applications。  new window
6.Gabus, A.、Fontela, E.(1972)。World problems, an invitation to further thought within the framework of DEMATEL。Geneva:Battelle Geneva Research Centre。  new window
7.詹德恩(2011)。金融犯罪的剋星--金融調查。台北:三民書局股份有限公司。new window  延伸查詢new window
 
 
 
 
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