南京银行内控体系文件尽职问责与违规积分管理办法文件编号：XXXXXXXXX-XXXX编制部门：版次号：A/0生效日期：20年月日尽职问责与违规积分管理办法版次：A/0编号：第2页共47页目录第一章总则......................................................................................................................................4第二章组织职责..................................................................................................................................6第一节尽职调查与问责职责...................................................................................................6第二节违规积分职责..............................................................................................................8第三章工作流程................................................................................................................................10第一节尽职调查与问责工作程序..........................................................................................10第二节违规积分管理程序.....................................................................................................15第四章管理要求与规则...................................................................................................................16第一节尽职调查与问责管理要求..........................................................................................16第二节违规积分管理规则.....................................................................................................18第五章附则....................................................................................................................................19附件：........................................................................................................................................................20附件1.《尽职调查与问责事项梳理表》.........................................................................................22附录2.《尽职调查报告》....................................................................................................................23附录3.《反馈意见书》........................................................................................................................24附件4.《违规事项机构积分记录单》.............................................................................................25尽职问责与违规积分管理办法版次：A/0编号：第3页共47页附件5.《机构积分统计表》...............................................................................................................26附件6.《违规事项积分通知单》......................................................................................................27附件7.《违规事项个人积分记录单》.............................................................................................28附件8.《工作人员积分统计表》......................................................................................................29附件9.《积分汇总表》........................................................................................................................30附录10.《问责管理工作开展情况汇总表》..................................................................................32附件11.《违规事项积分标准》.........................................................................................................33尽职问责与违规积分管理办法版次：A/0...
