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    Please use this identifier to cite or link to this item: https://nccur.lib.nccu.edu.tw/handle/140.119/154701


    Title: 金融業高階管理人員之職責與問責地圖:英國經驗與我國實踐
    Authors: 陳俊元
    Contributors: 風管系
    Keywords: 高階管理人員;認證機制;行為準則;責任聲明;問責地圖
    Date: 2024-06
    Issue Date: 2024-12-12
    Abstract: 鑑於我國近年來金融業之許多缺失,主管機關開始研議參考英國之問責機制,為我國建立相關制度。本文乃介紹英國高階管理人員及認證制度,以及我國新近推動的銀行業導入責任地圖制度自律規範,進行比較與分析,並提出相關建議。就結論而言,我國的自律規則大致承襲英國之制度內涵,但就整體架構與細節部分,可待未來進一步補充。例如強化以結果為導向的金融業者義務,進一步建構完整包含高階管理人員、認證機制與行為準則的三大支柱,以及增補更多細節,例如適任性之標準、持續評鑑、責任分配、以及暫離職位之處理。此外,亦應注重意見的調查、回饋與溝通,以凝聚共識,形成適合我國的責任認定與問責體系。
    Relation: 臺灣法律人, No.36, pp.85-95
    Data Type: article
    Appears in Collections:[風險管理與保險學系] 期刊論文

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