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\u7f8e\u56fd\u56fd\u4f1a\u901a\u8fc7\u4e86\u9996\u90e8\u72ec\u7acb\u7684\u52a0\u5bc6\u6cd5\u6848\uff0c\u9488\u5bf9\u5907\u53d7\u4e89\u8bae\u7684 SEC SAB 121\uff0c\u8fc8\u51fa\u4e86\u5386\u53f2\u6027\u7684\u4e00\u6b65\u3002\u4ee5\u4e0b\u662f\u5173\u4e8e\u8fd9\u9879\u65b0\u7acb\u6cd5\u53ca\u5176\u5bf9\u52a0\u5bc6\u5e02\u573a\u5f71\u54cd\u7684\u5168\u9762\u89e3\u8bfb\u3002<\/p>\n\n\n

\n
\"\"<\/figure><\/div>\n\n\n


\u4e00\u3001\u4ec0\u4e48\u662f\u52a0\u5bc6\u7acb\u6cd5\uff1f<\/strong>
\u52a0\u5bc6\u7acb\u6cd5\u662f\u4e13\u95e8\u4e3a\u7ba1\u7406\u52a0\u5bc6\u8d27\u5e01\u548c\u6570\u5b57\u8d44\u4ea7\u7684\u4f7f\u7528\u3001\u4ea4\u6613\u548c\u7ba1\u7406\u800c\u5236\u5b9a\u7684\u6cd5\u5f8b\u548c\u6cd5\u89c4\u3002\u8fd9\u4e9b\u6cd5\u5f8b\u65e8\u5728\u4e3a\u52a0\u5bc6\u8d27\u5e01\u751f\u6001\u7cfb\u7edf\u7684\u5404\u4e2a\u65b9\u9762\u63d0\u4f9b\u6cd5\u5f8b\u6846\u67b6\uff0c\u5305\u62ec\u4f46\u4e0d\u9650\u4e8e\uff1a<\/p>\n\n\n\n

1. \u76d1\u7ba1\u5408\u89c4\u6027\uff1a\u786e\u4fdd\u52a0\u5bc6\u8d27\u5e01\u6d3b\u52a8\u7b26\u5408\u73b0\u6709\u91d1\u878d\u6cd5\u89c4\u3001\u53cd\u6d17\u94b1\uff08AML\uff09\u6cd5\u5f8b\u4ee5\u53ca\u6253\u51fb\u6050\u6016\u4e3b\u4e49\u878d\u8d44\uff08CFT\uff09\u63aa\u65bd\u3002<\/p>\n\n\n\n

2. \u6d88\u8d39\u8005\u4fdd\u62a4\uff1a\u4fdd\u62a4\u7528\u6237\u548c\u6295\u8d44\u8005\u514d\u53d7\u52a0\u5bc6\u8d27\u5e01\u9886\u57df\u7684\u6b3a\u8bc8\u3001\u8bc8\u9a97\u548c\u5176\u4ed6\u6076\u610f\u6d3b\u52a8\u7684\u4fb5\u5bb3\u3002<\/p>\n\n\n\n

3. \u5e02\u573a\u8bda\u4fe1\uff1a\u4fc3\u8fdb\u52a0\u5bc6\u8d27\u5e01\u5e02\u573a\u7684\u900f\u660e\u5ea6\u3001\u516c\u5e73\u6027\u548c\u7a33\u5b9a\u6027\u3002<\/p>\n\n\n\n

4. \u4fc3\u8fdb\u521b\u65b0\uff1a\u9f13\u52b1\u6570\u5b57\u8d44\u4ea7\u884c\u4e1a\u7684\u521b\u65b0\u548c\u589e\u957f\uff0c\u540c\u65f6\u4fdd\u6301\u4e0e\u76d1\u7ba1\u76d1\u7763\u7684\u5e73\u8861\u3002<\/p>\n\n\n\n

5. \u7a0e\u6536\uff1a\u5236\u5b9a\u52a0\u5bc6\u8d27\u5e01\u4ea4\u6613\u548c\u6301\u6709\u7684\u7a0e\u6536\u6307\u5357\u3002<\/p>\n\n\n

\n
\"\"<\/figure><\/div>\n\n\n

\u4e8c\u3001\u4ec0\u4e48\u662f\u72ec\u7acb\u7acb\u6cd5\u53ca SAB 121\uff1f<\/strong>
\u72ec\u7acb\u7acb\u6cd5\u662f\u4e13\u95e8\u89e3\u51b3\u7279\u5b9a\u95ee\u9898\u6216\u4e3b\u9898\u7684\u6cd5\u5f8b\u6216\u6cd5\u6848\uff0c\u800c\u4e0d\u662f\u66f4\u5e7f\u6cdb\u7684\u7acb\u6cd5\u8ba1\u5212\u7684\u4e00\u90e8\u5206\u3002\u5176\u4e3b\u8981\u7279\u5f81\u5305\u62ec\uff1a<\/p>\n\n\n\n

1. \u91cd\u70b9\u8303\u56f4\uff1a\u9488\u5bf9\u7279\u5b9a\u9886\u57df\u6216\u95ee\u9898\uff0c\u63d0\u4f9b\u8be6\u7ec6\u89c4\u5219\u548c\u89c4\u5b9a\u3002<\/p>\n\n\n\n

2. \u72ec\u7acb\u6027\uff1a\u4e0d\u4e0e\u5176\u4ed6\u6cd5\u5f8b\u6216\u6539\u9769\u6346\u7ed1\uff0c\u53ef\u4ee5\u8fdb\u884c\u66f4\u76f4\u63a5\u3001\u66f4\u6709\u9488\u5bf9\u6027\u7684\u8ba8\u8bba\u3001\u8fa9\u8bba\u548c\u5b9e\u65bd\u3002<\/p>\n\n\n\n

3. \u6e05\u6670\u548c\u51c6\u786e\uff1a\u63d0\u4f9b\u6e05\u6670\u548c\u51c6\u786e\u7684\u6307\u4ee4\uff0c\u4f7f\u5176\u66f4\u6613\u4e8e\u7406\u89e3\u548c\u6267\u884c\u3002<\/p>\n\n\n\n

4. \u53ca\u65f6\u6027\uff1a\u80fd\u591f\u5feb\u901f\u5e94\u5bf9\u7d27\u6025\u95ee\u9898\uff0c\u800c\u65e0\u9700\u7b49\u5f85\u66f4\u5927\u89c4\u6a21\u3001\u66f4\u5168\u9762\u7684\u7acb\u6cd5\u5de5\u4f5c\u3002<\/p>\n\n\n\n

SAB 121 \u662f\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\u9881\u5e03\u7684\u4e00\u9879\u5907\u53d7\u4e89\u8bae\u7684\u6cd5\u89c4\u3002\u8be5\u516c\u544a\u8981\u6c42\u4e3a\u7528\u6237\u6301\u6709\u52a0\u5bc6\u8d44\u4ea7\u7684\u5b9e\u4f53\u5c06\u8fd9\u4e9b\u8d44\u4ea7\u8bb0\u5f55\u4e3a\u8d1f\u503a\uff0c\u5e76\u5728\u8d44\u4ea7\u8d1f\u503a\u8868\u4e0a\u4ee5\u516c\u5141\u4ef7\u503c\u8bb0\u5f55\u76f8\u5e94\u7684\u8d44\u4ea7\u3002\u6279\u8bc4\u8005\u8ba4\u4e3a\uff0c\u8fd9\u79cd\u4f1a\u8ba1\u5904\u7406\u7ed9\u94f6\u884c\u548c\u91d1\u878d\u673a\u6784\u5e26\u6765\u4e86\u8fc7\u5ea6\u7684\u8d22\u52a1\u8d1f\u62c5\uff0c\u5c24\u5176\u662f\u90a3\u4e9b\u63d0\u4f9b\u52a0\u5bc6\u6258\u7ba1\u670d\u52a1\u7684\u673a\u6784\u3002SAB 121 \u7684\u4e25\u683c\u8981\u6c42\u53ef\u80fd\u4f1a\u963b\u6b62\u673a\u6784\u8fdb\u5165\u52a0\u5bc6\u6258\u7ba1\u5e02\u573a\uff0c\u56e0\u4e3a\u6d89\u53ca\u7684\u6210\u672c\u9ad8\u6602\u4e14\u590d\u6742\u3002<\/p>\n\n\n\n

\u4e09\u3001\u4ec0\u4e48\u662f\u65b0\u7684\u52a0\u5bc6\u8d27\u5e01\u72ec\u7acb\u7acb\u6cd5\uff1f<\/strong>
\u8fd9\u9879\u65b0\u7684\u72ec\u7acb\u7acb\u6cd5\u7684\u4e3b\u8981\u76ee\u6807\u662f\u63a8\u7ffb SAB 121\u3002SAB 121 \u51fa\u53f0\u540e\uff0c\u8bb8\u591a\u91d1\u878d\u673a\u6784\u90fd\u5ba3\u79f0\u5176\u5e26\u6765\u4e86\u8d1f\u9762\u5f71\u54cd\u3002\u56e0\u6b64\uff0c\u7f8e\u56fd\u56fd\u4f1a\u63f4\u5f15\u300a\u56fd\u4f1a\u5ba1\u67e5\u6cd5\u6848\u300b\uff08CRA\uff09\u63a8\u7ffb\u4e86 SAB 121\uff0c\u8fd9\u6807\u5fd7\u7740\u91d1\u878d\u521b\u65b0\u548c\u76d1\u7ba1\u6539\u9769\u5021\u5bfc\u8005\u7684\u91cd\u5927\u80dc\u5229\u3002\u65b0\u7acb\u6cd5\u4e3b\u8981\u65e8\u5728\uff1a<\/p>\n\n\n\n

1. \u63a8\u7ffb SAB 121\uff1a\u89e3\u51b3 SAB 121 \u65bd\u52a0\u7684\u5177\u4f53\u8981\u6c42\uff0c\u8be5\u8981\u6c42\u8981\u6c42\u4e3a\u7528\u6237\u6301\u6709\u52a0\u5bc6\u8d44\u4ea7\u7684\u5b9e\u4f53\u5c06\u8fd9\u4e9b\u8d44\u4ea7\u8bb0\u5f55\u4e3a\u8d1f\u503a\uff0c\u5e76\u5728\u8d44\u4ea7\u8d1f\u503a\u8868\u4e0a\u4ee5\u516c\u5141\u4ef7\u503c\u8bb0\u5f55\u76f8\u5e94\u7684\u8d44\u4ea7\u3002<\/p>\n\n\n\n

2. \u51cf\u8f7b\u8d22\u52a1\u8d1f\u62c5\uff1a\u51cf\u8f7b SAB 121 \u7ed9\u94f6\u884c\u548c\u91d1\u878d\u673a\u6784\u5e26\u6765\u7684\u8d22\u52a1\u548c\u8fd0\u8425\u8d1f\u62c5\uff0c\u4fc3\u8fdb\u4ed6\u4eec\u53c2\u4e0e\u52a0\u5bc6\u8d27\u5e01\u6258\u7ba1\u5e02\u573a\u3002<\/p>\n\n\n\n

3. \u4fc3\u8fdb\u91d1\u878d\u521b\u65b0\uff1a\u652f\u6301\u66f4\u52a0\u6709\u5229\u4e8e\u521b\u65b0\u7684\u6570\u5b57\u8d44\u4ea7\u76d1\u7ba1\u73af\u5883\u3002<\/p>\n\n\n\n

\u901a\u8fc7\u4e13\u95e8\u5173\u6ce8 SAB 121 \u7684\u5e9f\u9664\uff0c\u8fd9\u9879\u72ec\u7acb\u7acb\u6cd5\u65e8\u5728\u5feb\u901f\u6709\u6548\u5730\u89e3\u51b3\u52a0\u5bc6\u8d27\u5e01\u884c\u4e1a\u5185\u7684\u7d27\u8feb\u95ee\u9898\uff0c\u800c\u4e0d\u4f1a\u88ab\u66f4\u5e7f\u6cdb\u7684\u7acb\u6cd5\u7a0b\u5e8f\u6240\u62d6\u5ef6\u3002<\/p>\n\n\n\n

\u56db\u3001\u65b0\u7684\u72ec\u7acb\u7acb\u6cd5\u5c06\u5982\u4f55\u91cd\u5851\u52a0\u5bc6\u8d27\u5e01\u5e02\u573a\uff1f<\/strong>
SAB 121 \u7684\u5e9f\u9664\u548c CRA \u7684\u901a\u8fc7\u4ee3\u8868\u4e86\u7f8e\u56fd\u52a0\u5bc6\u8d27\u5e01\u76d1\u7ba1\u6f14\u53d8\u7684\u5173\u952e\u65f6\u523b\u3002\u901a\u8fc7\u6311\u6218 SEC \u7684\u76d1\u7ba1\u6846\u67b6\u5e76\u7ef4\u62a4\u56fd\u4f1a\u7684\u76d1\u7763\uff0c\u7acb\u6cd5\u8005\u8868\u73b0\u51fa\u89e3\u51b3\u73b0\u6709\u6cd5\u89c4\u7f3a\u9677\u5e76\u5bf9\u6570\u5b57\u8d44\u4ea7\u91c7\u53d6\u66f4\u5177\u5305\u5bb9\u6027\u7684\u65b9\u6cd5\u7684\u610f\u613f\u3002\u8fd9\u9879\u7acb\u6cd5\u5de5\u4f5c\u7684\u7ed3\u679c\u5c06\u5bf9\u52a0\u5bc6\u8d27\u5e01\u5e02\u573a\u4ea7\u751f\u6df1\u8fdc\u5f71\u54cd\uff0c\u5177\u4f53\u8868\u73b0\u4e3a\uff1a<\/p>\n\n\n\n

1. \u589e\u5f3a\u5e02\u573a\u4fe1\u5fc3\uff1a\u63a8\u7ffb SAB 121 \u5c06\u51cf\u5c11\u91d1\u878d\u673a\u6784\u7684\u8d22\u52a1\u8d1f\u62c5\uff0c\u53ef\u80fd\u4fc3\u4f7f\u66f4\u591a\u673a\u6784\u8fdb\u5165\u52a0\u5bc6\u6258\u7ba1\u5e02\u573a\uff0c\u4ece\u800c\u589e\u5f3a\u5e02\u573a\u4fe1\u5fc3\u3002<\/p>\n\n\n\n

2. \u4fc3\u8fdb\u5e02\u573a\u6d3b\u8dc3\u5ea6\uff1a\u51cf\u5c11\u76d1\u7ba1\u969c\u788d\u5c06\u9f13\u52b1\u66f4\u591a\u7684\u521b\u65b0\u548c\u6295\u8d44\uff0c\u589e\u52a0\u5e02\u573a\u7684\u6d3b\u8dc3\u5ea6\u548c\u6d41\u52a8\u6027\u3002<\/p>\n\n\n\n

3. \u7a33\u5b9a\u5e02\u573a\u6ce2\u52a8\uff1a\u66f4\u660e\u786e\u548c\u5408\u7406\u7684\u76d1\u7ba1\u6846\u67b6\u5c06\u6709\u52a9\u4e8e\u7a33\u5b9a\u5e02\u573a\uff0c\u51cf\u5c11\u56e0\u76d1\u7ba1\u4e0d\u786e\u5b9a\u6027\u5bfc\u81f4\u7684\u5e02\u573a\u6ce2\u52a8\u3002<\/p>\n\n\n\n

\u65b0\u7684\u52a0\u5bc6\u7acb\u6cd5\u6807\u5fd7\u7740\u7f8e\u56fd\u5728\u6570\u5b57\u8d44\u4ea7\u76d1\u7ba1\u65b9\u9762\u8fc8\u51fa\u4e86\u91cd\u8981\u4e00\u6b65\u3002\u5b83\u4e0d\u4ec5\u56de\u5e94\u4e86\u5e02\u573a\u7684\u547c\u58f0\uff0c\u4e5f\u4e3a\u672a\u6765\u7684\u521b\u65b0\u548c\u53d1\u5c55\u94fa\u5e73\u4e86\u9053\u8def\u3002\u968f\u7740\u52a0\u5bc6\u8d27\u5e01\u5e02\u573a\u7684\u4e0d\u65ad\u6f14\u53d8\uff0c\u66f4\u591a\u7684\u6cd5\u5f8b\u548c\u6cd5\u89c4\u5c06\u7ee7\u7eed\u51fa\u53f0\uff0c\u4ee5\u786e\u4fdd\u5e02\u573a\u7684\u7a33\u5b9a\u548c\u7e41\u8363\u3002\u8fd9\u573a\u7acb\u6cd5\u4e4b\u6218\u5c06\u6df1\u523b\u5f71\u54cd\u52a0\u5bc6\u8d27\u5e01\u884c\u4e1a\u7684\u672a\u6765\u8f68\u8ff9\u53ca\u5176\u5728\u5168\u7403\u91d1\u878d\u683c\u5c40\u4e2d\u7684\u4f5c\u7528\u3002<\/p>\n","protected":false},"excerpt":{"rendered":"

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