nach oben

Erschienen in:

2023 | OriginalPaper | Buchkapitel

5. Technology Applications in Private Equity Compliance Management

verfasst von : Ruihui Xu, Dawei Zhao

Erschienen in: Digital Transformation of Private Equity in China

Verlag: Springer Nature Singapore

Einloggen

Aktivieren Sie unsere intelligente Suche, um passende Fachinhalte oder Patente zu finden.

search-config

KI-gestützte Suche

Aus

Abstract

With the transformation and development of China’s economy and the multi-level capital market, PE investment has become increasingly prominent.

Sie haben noch keine Lizenz? Dann Informieren Sie sich jetzt über unsere Produkte:

Springer Professional "Wirtschaft+Technik"

Online-Abonnement

Mit Springer Professional "Wirtschaft+Technik" erhalten Sie Zugriff auf:

über 102.000 Bücher
über 537 Zeitschriften

aus folgenden Fachgebieten:

Automobil + Motoren
Bauwesen + Immobilien
Business IT + Informatik
Elektrotechnik + Elektronik
Energie + Nachhaltigkeit
Finance + Banking
Management + Führung
Marketing + Vertrieb
Maschinenbau + Werkstoffe
Versicherung + Risiko

Jetzt Wissensvorsprung sichern!

Jetzt informieren

Springer Professional "Wirtschaft"

Online-Abonnement

Mit Springer Professional "Wirtschaft" erhalten Sie Zugriff auf:

über 67.000 Bücher
über 340 Zeitschriften

aus folgenden Fachgebieten:

Bauwesen + Immobilien
Business IT + Informatik
Finance + Banking
Management + Führung
Marketing + Vertrieb
Versicherung + Risiko

Jetzt Wissensvorsprung sichern!

Jetzt informieren

Vorheriges Kapitel Technology Applications in Private Equity Regulation

Nächstes Kapitel Technology Applications in Private Equity Anti-Money Laundering

“3 + 3”: the private fund manager needs at least three staff members with traceable performance of no less than three years, and the performance needs to be proved by the corresponding product report or other supporting materials issued by the trustee, auditor or other third-party institutions.

https://ambers.amac.org.cn/cas/login?service.

This subsection refers to AMAC (2021).

https://www.interotc.com.cn/zzbj/.

https://home.kpmg/us/en/home/insights/2018/05/the-digital-transformation-imperative.html.

AMAC. Private equity investment fund industry compliance management manual. Beijing: China Financial and Economic Publishing House; 2021. p. 2021.

Chen YJ. Study on the legal issues of the collection rules of private equity products. Shanghai Finance. 2019;9:51–7. https://doi.org/10.13910/j.cnki.shjr.2019.09.008. (in Chinese).CrossRef

Clack CD, Bakshi VA, Braine L. Smart contract templates: foundations, design landscape and research directions; 2017. Available at: https://arxiv.org/abs/1608.00771.

Colaert V. RegTech is a response to regulatory expansion in the financial sector. SSRN Working Paper, No.2677116; 2017.

Fu QQ. Application value of compliance technology in data compliance. J Taiyuan Univ (Soc Sci Edition). 2023;4:80–9. https://doi.org/10.13710/j.cnki.cn14-1294/g.2023.04.003. (in Chinese).CrossRef

Hendrikse R. Regtech 3.0: Easing the cost of compliance. International Banker; 2020.

Hou JN. Private equity funds entered the era of electronic signing the first single signing business completed; 2018. http://www.zqrb.cn/fund/jijindongtai/2018-08-16/A1534351124526.html. (in Chinese)

KPMG. The Pulse of Fintech H1 2020, 2020–9; 2020. https://home.kpmg/xx/en/home/industries/financialservices/pulse-of-fintech.html.

Jin ZF. Thoughts on regulatory technology to solve the compliance dilemma of the financial industry. Financ Technol Era. 2021;9:79–83 (in Chinese).

O’Shields R. Smart contracts: legal agreements for the blockchain, 21 N.C. Banking Inst. 177; 2017. Available at: http://scholarship.law.unc.edu/ncbi/vol21/iss1/11.

Packin NG. Regtech, compliance and technology judgement rule, 93 Chi.-Kent L. Rev. 193; 2018. Available at: https://scholarship.kentlaw.iit.edu/cklawreview/vol93/iss1/7.

Securities Industry Association. The costs of compliance in the U.S. securities industry: survey report; 2006. https://www.sifma.org/wp-content/uploads/2017/06/costofcompliancesurveyreport1.pdf.

Shan CY, Zhao DW. Research on the application of artificial intelligence in compliance technology. Tsinghua Financ Rev. 2019;8:104–6. https://doi.org/10.19409/j.cnki.thf-review.2019.08.027. (in Chinese).CrossRef

Su HY. Construction of financial data supervision mode under the background of financial technology. Technol Law. 2020;1:68–75. https://doi.org/10.19685/j.cnki.cn11-2922/n.2020.01.009. (in Chinese).CrossRef

Tao F, Wan XN. Regulatory technology and compliance technology: regulatory efficiency and compliance cost. Financial Regul Res. 2019;7:68–81. https://doi.org/10.13490/j.cnki.frr.2019.07.005. (in Chinese).CrossRef

Thomson Reuters Regulatory Intelligence. 2023 cost of compliance: regulatory burden poses operational challenges for compliance; 2023. https://legal.thomsonreuters.com/content/dam/ewp-m/documents/legal/en/pdf/reports/cost-of-compliance-report-final-web.pdf.

Tu MH. Private equity fund violations and legal analysis. Legal Expo. 2019;8:67–8 (in Chinese).

Xu X, Liu BL. Application scenarios of regulatory and compliance technologies. Shanghai Insurance. 2019;7:18–21 (in Chinese).

Xueqiu. Survival survey: compliance operating costs of a private equity manager; 2018. https://xueqiu.com/9189223062/117254762. (in Chinese)

Zhou H. Enabling personal information protection with compliance technology. People ‘s Procuratorate. 2022;16:44 (in Chinese).

Titel: Technology Applications in Private Equity Compliance Management
verfasst von: Ruihui Xu
Dawei Zhao
Verlag: Springer Nature Singapore
Buch: Digital Transformation of Private Equity in China
Print ISBN: 978-981-9984-81-7

Electronic ISBN: 978-981-9984-82-4

Copyright-Jahr: 2023
DOI: https://doi.org/10.1007/978-981-99-8482-4_5