基于基金公司反洗钱的内部审计问题研究

近年来,随着反洗钱工作力度的不断加大,基于反洗钱的内部审计作为一项法定要求,已经成为基金公司反洗钱工作的一项重要工作内容。本文立足于基金公司反洗钱的内部审计,首先介绍了相关法规要求以及基金公司开展反洗钱内部审计的主要工作内容,然后分析了当前基金公司反洗钱及内部审计工作面临的问题,最后从构建基金反洗钱体系、增强基金公司反洗钱意识和加强内部审计队伍建设等方面给出相关的意见和建议。

Research on Internal Audit Based on Anti-money Laundering of Fund Company

In recent years, as anti-money laundering efforts continue to increase, internal audit based on anti-money laundering has become a statutory requirement and has become an important part of fund companies’ anti-money laundering work. This article is based on the internal audit of fund companies’ anti-money laundering. It first introduces the relevant legal requirements and the main content of the fund company’s internal audit on anti-money laundering. Then it analyzes the current problems faced by the fund companies’ anti-money laundering and internal audit. Finally, it gives relevant opinions and suggestions from the aspects of building the fund anti-money laundering system, enhancing the fund companies’ anti-money laundering awareness and strengthening the construction of the internal audit team.