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    Please use this identifier to cite or link to this item: http://tkuir.lib.tku.edu.tw:8080/dspace/handle/987654321/93915

    Title: 從企業信評論產險業辦理法令遵循評等之可行性
    Other Titles: Feasibility of compliance rating on the insurance industry from the perspective of corporate credit evaluation
    Authors: 呂明杰;Lu, Ming-Chieh
    Contributors: 淡江大學保險學系保險經營碩士在職專班
    Keywords: 法令遵循;公司治理;Compliance;CorporateGovernance
    Date: 2013
    Issue Date: 2014-01-23 13:39:01 (UTC+8)
    Abstract: 檢視2013年保險業(含保經、代)截至6月止,總計遭主管機關裁罰件數31件,裁罰金額達新台幣41,880仟元,受裁罰之保險業者遍及產、壽險公司及保險經紀人與代理人公司。究其原因主要乃是未落實法令遵循作業,而違反相關法規致裁罰。
    As of the end of June in 2013, a number of insurance business firms (including insurance agents and brokers) have been punished by the competent authority in 31 cases of offenses, and the fines involved amounted to NT$41.88 million. These insurance firms covered the businesses of property insurance companies, life insurance companies, insurance agents, and insurance brokers. The main cause of the punitive action was the failure to comply with the applicable legal rules, to the extent that punishment was given.
    Compliance is a matter of preventive measure, which entails the monitoring of the enterprise in abiding by applicable legal rules in its operations. Under the system of compliance, applicable legal rules and the internal code of the company will be identified and updated regularly. In addition, related segments of the company shall engage in internal communications for assessment of the proper enforcement of the compliance system, with the final proposal of running the system in conformity with legal requirements. Through the process of the compliance system, applicable legal rules can be fully understood by related functional units of the company effectively. This is the only way to ensure compliance with applicable legal rules and eliminate anticipated legal risk.
    In this study, the review and analysis of literature, inductive analysis, and comparative methods will be used. First, related literature will be reviewed and summarized as the theoretical foundation of credit rating, corporate governance, and compliance. Secondly, applicable legal rules will be described and elucidated through inductive and comparative methods. Finally, the feasibility of a compliance system applicable to the insurance industry will be induced. This study is an attempt to serve as a reference for the insurance
    industry of Taiwan in performing corporate governance in its entirety.
    Appears in Collections:[保險學系暨研究所] 學位論文

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