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完整後設資料紀錄
DC 欄位 | 值 | 語言 |
---|---|---|
dc.contributor.advisor | 許文馨 | zh_TW |
dc.contributor.advisor | Wen-Hsin Hsu | en |
dc.contributor.author | 何孟哲 | zh_TW |
dc.contributor.author | Meng-Che Ho | en |
dc.date.accessioned | 2023-07-31T16:10:56Z | - |
dc.date.available | 2023-11-09 | - |
dc.date.copyright | 2023-07-31 | - |
dc.date.issued | 2023 | - |
dc.date.submitted | 2023-06-07 | - |
dc.identifier.citation | Bank Secrecy Act (BSA) & Anti-Money Laundering (AML) Examinations | OCC. (n.d.). https://www.occ.treas.gov/topics/supervision-and-examination/bsa/bsa-aml-examinations/index-bsa-aml-examinations.html
Citi | Anti-Money Laundering. Retrieved from https://www.citigroup.com/citi/citizen/antimoneylaundering/index.htm Citigroup Inc. (2021) annual report. Retrieved from https://www.citi.com/citi/investor/quarterly/2022/annual-report/ Flitter, E. (2019, April 10). Standard Chartered Fined $1.1 Billion for Violating Sanctions and Anti-Money Laundering Laws. The New York Times. Retrieved from https://www.nytimes.com/2019/04/09/business/standard-chartered-sanctions-violations.html Flitter, E. (2021, February 10). Citigroup is fined $400 million over ‘longstanding’ internal problems. The New York Times. Retrieved from https://www.nytimes.com/2020/10/07/business/citigroup-fine-risk-management.html JPMorgan Chase & Co. Agrees To Pay $920 Million in Connection with. (2020, September 29). Retrieved from https://www.justice.gov/opa/pr/jpmorgan-chase-co-agrees-pay-920-million-connection-schemes-defraud-precious-metals-and-us John J. Byrne (2016). CAMS Examination Study Guide. Retrieved from https://www.aml101.com/CAMS_Study_Guide.pdf Money laundering. (n.d.). United Nations: UNODC ROMENA. Retrieved from https://www.unodc.org/romena/en/money-laundering.html Money Laundering Control Act, ROC, §5 (2018) Retrieved from https://mojlaw.moj.gov.tw/ENG/LawContentE.aspx?LSID=FL006664 Money Laundering Control Act, ROC, §6 (2018) Retrieved from https://mojlaw.moj.gov.tw/ENG/LawContentE.aspx?LSID=FL006664 Money Laundering Control Act, ROC, §7 (2018) Retrieved from https://mojlaw.moj.gov.tw/ENG/LawContentE.aspx?LSID=FL006664 Money Laundering Control Act, ROC, §10 (2018) Retrieved from https://mojlaw.moj.gov.tw/ENG/LawContentE.aspx?LSID=FL006664 Money Laundering Control Act, ROC, §14 (2018) Retrieved from https://mojlaw.moj.gov.tw/ENG/LawContentE.aspx?LSID=FL006664 Press Release-The Financial Supervisory Commission took enforcement actions against Citibank Taiwan Limited and DBS Bank (Taiwan) Ltd. related to Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) deficiencies-Financial Supervisory Commission. (n.d.). https://www.fsc.gov.tw/en/home.jsp?id=54&parentpath=0,2&mcustomize=multimessage_view.jsp&dataserno=202105270002&dtable=News Regulations Governing Anti-Money Laundering of Financial Institutions, ROC, (2021), Retrieved from https://law.moj.gov.tw/ENG/LawClass/LawAll.aspx?pcode=G0380252 Regulations Governing Internal Audit and Internal Control System of Anti-Money Laundering and Countering Terrorism Financing of Banking Business and Other Financial Institutions Designated by the Financial Supervisory Commission, ROC, (2021) Retrieved from https://law.moj.gov.tw/ENG/LawClass/LawAll.aspx?pcode=G0380262 Schuetze, K. F. A. (2017, January 31). Deutsche Bank fined $10 billion sham Russian trades. U.S. Retrieved from https://www.reuters.com/article/us-deutsche-mirrortrade-probe-idUSKBN15F1GT The FATF Recommendations. Retrieved from https://www.fatf-gafi.org/en/publications/Fatfrecommendations/Fatf-recommendations.html The FATF Country List (n.d.). Retrieved from https://www.fatf-gafi.org/en/countries/fatf.html United Nations: Office on Drugs and Crime. Retrieved from https://www.unodc.org/unodc/en/money-laundering/index.html?ref=menuside UN Vienna (1988). Convention Article 3.1. Retrieved from https://www.unodc.org/pdf/convention_1988_en.pdf VIRITHA, B. (2016). Anti-money laundering practices in Banks: Customer’s awareness and acceptance in India. Journal of Money Laundering Control, 19(3), 8–8. doi:10.1108/jmlc-03-2015-0009 | - |
dc.identifier.uri | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/87896 | - |
dc.description.abstract | 洗錢是一種全球性威脅,它破壞了金融體系的完整性和穩定性。 監管機構對金融機構施加了嚴格的反洗錢 (AML) 要求,以打擊這種威脅。 本文通過對全球最大金融機構之一花旗集團反洗錢要求的實施情況進行考察,探討花旗集團在反洗錢合規管理方面的現行做法。
通過混合方法,本文結合了公共資源的定性數據分析,並為全球反洗錢標準和台灣反洗錢法規的現有文獻做出了貢獻。 其次,研究花旗集團在反洗錢合規方面的反洗錢實踐。 由於花旗集團是世界上最大的金融機構之一,花旗集團也被列為全球系統重要性銀行,表明其對全球金融體系的重要性和影響。 通過提供對最佳實踐、合規策略和監管影響的見解,關於在花旗集團實施反洗錢要求的論文可能對其他金融機構有價值。 這項研究可以幫助其他金融機構加強他們的反洗錢合規計劃,減輕洗錢風險,並有效地遵守監管要求。 | zh_TW |
dc.description.abstract | Money laundering is a global threat that undermines the integrity and stability of the financial system. Regulatory authorities have imposed stringent Anti-Money Laundering (AML) requirements on financial institutions to combat this menace. This thesis examines the implementation of AML requirements in Citigroup Inc., one of the largest financial institutions globally, to explore Citigroup’s current practices in AML compliance management.
Through a mixed-methods approach, the thesis has combined qualitative data analysis via public sources and contributed to the existing literature on global AML standards and Taiwan AML regulations. Second, research on Citigroup's AML practices in AML compliance. Since Citigroup is one of the largest financial institutions in the world, also Citigroup is classified as a Global Systemically Important Bank, indicating its significance and impact on the global financial system. The thesis on implementing AML requirements in Citigroup can be valuable to other financial institutions by providing insights into best practices, compliance strategies, and regulatory implications. This research can help other financial institutions strengthen their AML compliance programs, mitigate money laundering risks, and effectively comply with regulatory requirements. | en |
dc.description.provenance | Submitted by admin ntu (admin@lib.ntu.edu.tw) on 2023-07-31T16:10:56Z No. of bitstreams: 0 | en |
dc.description.provenance | Made available in DSpace on 2023-07-31T16:10:56Z (GMT). No. of bitstreams: 0 | en |
dc.description.tableofcontents | Table of Contents
Acknowledgement I Abstract II Table of Contents III List of Tables and Figures IV Chapter 1 Introduction 1 1.1 Research Problem 2 1.2 Research Aims and Objectives 3 1.3 Research Methodology 4 1.4 Importance and Significance of the Study 4 1.5 Structure of the Thesis 5 Chapter 2 Anti-Money Laundering Standard and Related Regulations 6 2.1 The Definition of Money Laundering 6 2.2 Anti-Money Laundering Regulations 9 2.2.1 Global AML Standard – The Financial Action Task Force (FATF) Objective 12 2.2.2 FATF 40 Recommendations 14 2.2.3 Taiwan AML Regulations 16 2.2.4 AML Penalties for Financial Institutions 25 Chapter 3 Anti-Money Laundering Implementation at Citigroup Inc. 26 3.1 Company Overview – Citigroup Inc. 26 3.2 AML Compliance Risk Management at Citigroup 29 3.3 AML Internal Control Lifecycle 31 3.4 AML Program Execution - Three Line of Defense 38 3.5 FATF 40 Recommendations at Citigroup 43 Chapter 4 Case Analysis 45 4.1 Comparison of Global AML Standard and Citigroup AML Implementation 45 4.2 Comparison of AML Taiwan Laws and Citigroup AML Implementation 48 Chapter 5 Conclusion 49 References 50 Appendix 1: List of the FATF 40 Recommendations 53 Appendix 2: Wolfsberg Group Financial Crime Compliance Questionnaire by Citigroup Inc. 56 Appendix 3: Chinese Taipei Mutual Evaluation Report by APG 66 | - |
dc.language.iso | en | - |
dc.title | 洗錢防制法於金融機構的體系之應用—以花旗集團為例 | zh_TW |
dc.title | Implementing Anti-Money Laundering Requirements in Financial Institutions: Evidence from Citigroup Inc. | en |
dc.type | Thesis | - |
dc.date.schoolyear | 111-2 | - |
dc.description.degree | 碩士 | - |
dc.contributor.oralexamcommittee | 堯里昂;劉心才 | zh_TW |
dc.contributor.oralexamcommittee | Leon van Jaarsveldt;Hsin-Tsai Liu | en |
dc.subject.keyword | 花旗集團,洗錢防制, | zh_TW |
dc.subject.keyword | Citigroup Inc,Anti-Money Laundering, | en |
dc.relation.page | 69 | - |
dc.identifier.doi | 10.6342/NTU202300936 | - |
dc.rights.note | 同意授權(全球公開) | - |
dc.date.accepted | 2023-06-08 | - |
dc.contributor.author-college | 管理學院 | - |
dc.contributor.author-dept | 企業管理碩士專班 | - |
顯示於系所單位: | 管理學院企業管理專班(Global MBA) |
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