审计定性与处罚3-金融保险部分（Audit qualitative and penalties 3- financial insurance section）.docVIP

下载本文档

2
0
约2.93万字
约 22页
2017-07-24 发布于河南
举报
版权申诉

审计定性与处罚3-金融保险部分（Audit qualitative and penalties 3- financial insurance section）.doc

1、本文档共22页，可阅读全部内容。
2、有哪些信誉好的足球投注网站（book118）网站文档一经付费（服务费），不意味着购买了该文档的版权，仅供个人/单位学习、研究之用，不得用于商业用途，未经授权，严禁复制、发行、汇编、翻译或者网络传播等，侵权必究。
3、本站所有内容均由合作方或网友上传，本站不对文档的完整性、权威性及其观点立场正确性做任何保证或承诺！文档内容仅供研究参考，付费前请自行鉴别。如您付费，意味着您自己接受本站规则且自行承担风险，本站不退款、不进行额外附加服务；查看《如何避免下载的几个坑》。如果您已付费下载过本站文档，您可以点击这里二次下载。
4、如文档侵犯商业秘密、侵犯著作权、侵犯人身权等，请点击“版权申诉”（推荐），也可以打举报电话：400-050-0827(电话支持时间：9:00-18:30)。
5、该文档为VIP文档，如果想要下载，成为VIP会员后，下载免费。
6、成为VIP后，下载本文档将扣除1次下载权益。下载后，不支持退款、换文档。如有疑问请联系我们。
7、成为VIP后，您将拥有八大权益，权益包括：VIP文档下载权益、阅读免打扰、文档格式转换、高级专利检索、专属身份标志、高级客服、多端互通、版权登记。
8、VIP文档为合作方或网友上传，每下载1次，网站将根据用户上传文档的质量评分、类型等，对文档贡献者给予高额补贴、流量扶持。如果你也想贡献VIP文档。上传文档

审计定性与处罚3-金融保险部分（Audit qualitative and penalties 3- financial insurance section）

审计定性与处罚3-金融保险部分（Audit qualitative and penalties 3- financial insurance section） Audit quality and punishment Three, finance and insurance Catalog (I) Finance The 1. book business 2., high interest reserve 3. engage in securities or futures transactions or provide funds and guarantees for transactions 4. illegal Zhanya funds 5. commercial banks are engaged in stock business or trust investment business 6. commercial banks illegal investment in real estate 7. commercial banks illegally invest in non bank financial institutions and enterprises within the territory 8. commercial banks retain and embezzle settlement funds 9. charges extra for violation (two) insurance 10. not required to extract or carry over reserves 11, the insurance insurance fund and provident fund are not insured according to regulations 12. illegal use of insurance company funds (three) securities 13., for customers and then branch, financing stocks 14., violations engaged in proprietary business 15. illegal trading, misappropriation, lending, customer securities or misappropriation of customer funds (four) foreign exchange control 16. evasion 17. arbitrage 18., unauthorized conduct foreign exchange business 19., buying and selling foreign exchange without permission (disguised trading, foreign exchange speculation) 20. financial enterprises accounting and financial management issues (I) Finance The 1. book business Qualitative evidence: measures the punishment of illegal financial acts article ll financial institutions are not allowed in the following manner in their business activities: (1) the deposit and loan business shall not be accounted for or registered in the accounting system or shall not be reflected in the account statement; (two) the deposit and loan business in the same account different squeezing; (three) operating income is not included in the accounting books; (four) outside the business behavior in other ways. On the basis of punishment: financial penalties for violations Elevent