KHI

PHNG CHNH

THNG K THNG TIN C

H v tn:
Phng ban:
Thi gian bt u lm vic ti Khi Kim ton ni b - VPbank:

CC CU HI KHO ST

1. Anh/ch c l ngi trung gian giao dch hoc xc tin bn cc sn phm, dch v cho Ng

STT

Ni dung giao dch/sn

phm /dch v

Thi gian thc hin

2. Anh/ch c tham gia xy dng quy trnh, th tc, quy nh, chnh sch ni b, vn bn n
tr l ngi chu trch nhim chnh khng?. Nu c, vui lng lit k tt c cc quy trnh, th

STT

Tn quy trnh, th tc, quy

nh,chnh sch ni b, vn bn ni
b

n v lin quan

3. Trc khi lm vic ti Khi Kim ton ni b VPbank, anh/ch c lm vic ti Chi nhnh/P
chi tit

STT

n v

Phng ban/Mng ph
trch

4. Anh/ch vui lng cung cp cc thng tin v cc mi quan h trc tip/gn gi/ thn cn
4.1. Cc mi quan h trc tip (Gm v, chng (hoc tng ng) hoc nhng ngi khc

STT

H v tn

n v cng tc

4.2 Cc mi quan h gn gi (Gm b, m, con hoc anh, ch, em rut m nhng ngi ny

STT

H v tn

n v cng tc

5. Anh/ch c cc mi quan h thn cn/ gn gi khc vi c nhn/ t chc no trong Ngn

nh gi kim ton khng? Nu c, vui lng cung cp chi tit trong bng di:

STT

H v tn

Mi quan h (
ngh ghi r quan
h v l do c
th nh hng

n v cng tc

6. Cc mi quan h/ vn khc c th nh hng ti tnh c lp, khch quan trong cng tc kim ton th
lin quan):

KHI KIM TON NI B

PHNG CHNH SCH V CNG C KIM TON

G K THNG TIN C NHN CN B KIM TON NI B

C CU HI KHO ST THNG K

n phm, dch v cho Ngn hng, cc cng ty con? Nu c, vui lng lit k chi tit ni dung:

Thi gian thc hin

n v lin quan

Ghi ch khc (nu

c)

h sch ni b, vn bn ni b no ca Ngn hng, cng ty trc thuc m trong anh/ch ng va

tt c cc quy trnh, th tc, quy nh, chnh sch ni b, vn bn ni b trong phm vi.

n v lin quan

S tham chiu

Ngy ban hnh

Hiu lc (Cn hiu

lc/ht hiu lc)

lm vic ti Chi nhnh/Phng ban/Cng ty trc thuc VPbank no khng? Nu c, vui lng lit k

Phng ban/Mng ph
trch

Chc v

Thi gian lm vic

(T ngyn
ngy)

c tip/gn gi/ thn cn i vi bn di bao gm:

) hoc nhng ngi khc chu s ph thuc v kinh t (con , con nui).)

n v cng tc

Phng ban/Mng
ph trch

Chc v (ang
hoc gi)

Thi gian lm vic

(T ngyn
ngy)

rut m nhng ngi ny khng phi l thnh vin c quan h gia nh trc tip.)

n v cng tc

Phng ban/Mng
ph trch

Chc v (ang
hoc gi)

Thi gian lm vic

(T ngyn
ngy)

t chc no trong Ngn hng, cng ty trc thuc m c th nh hng n tnh c lp v kt qu

g bng di:

n v cng tc

Phng ban/Mng
ph trch

Chc v (ang
hoc gi)

Thi gian lm vic

(T ngyn
ngy)

n trong cng tc kim ton theo Quy tc o c kim ton vin ni b ( ngh ghi r vn v cc n v/con ng

i tit ni dung:

g anh/ch ng vai
g phm vi.

c, vui lng lit k

p.)

nh c lp v kt qu

v cc n v/con ngi