Development And Implementation On Compliance Information Management Systems Base On Lotus Domino/Notes

As keen commercial competition in financial markets, the most of banks offer theircustomers better service means in order to occupy more market share. It’s an extremelystrong need for commercial banks to enhance their comprehensive competitive ability as soonas possible. Meanwhile the high interest must be accompanied by high-risk, the profitabilityof commercial banks must take risks to get so that the risk management in commercial banksis a critical factor. How to arrange bank risk management is an important issue of commercialbanks.In the past, banks were just worried about three risks: credit risk, market risk andoperational risk, but the compliance risk is more dangrous than these three basic risksnowaday and it should be paid more attention. Compliance risk a serious nature, it leads tomore loss. Compliance risk management has become the bank’s internal control mechanismto build the foundation and core. Banks must have dynamic management system ofcompliance information. Compliance risks should be collected continuously, meanwhile itshould be discrimated, analyzed, compared, classified and combined to identify and preventeffectively.This paper uses workflow technology and Lotus Notes development platform for designand development of the bank’s compliance information management system. In fact BTMUhas compliance information gathering mechanism, but the various compliance departments ofthe head office and branches lack a unified platform to publish and manage complianceinformation, thus it is not conducive to compliance information sharing and co-ordinatedmanagement. And the different categories of compliance information are quite different andhave different confidentiality requirements. The system now used by all branches of compliance information release system is unable to meet the different requirements ofconfidentiality.System uses Lotus Domino/Notes R6.5as a development platform, uses Lotus Dominoas a server, Lotus Notes as a client, formula language and Lotus Script language as aprogramming language to design and develop compliance management information system.Through research and requirements analysis, the system is divided into nine modules:information management laws and regulations, the authorities’ confirmation management,compliance reports management, minutes management, training management, compliancetips management, compliance user maintenance, information maintenance and administrators.Most applications focus on the key modeles functions, such as CRUD.This paper takes the perspective of the user of the system to make comprehensiverequirements analysis, uses case diagrams and use case text describes in detail the function ofthe system requirements. For the system design, mainly from the system structure, systemarchitecture, system function module, database and system security in five areas describedseparately. Especially, three key issues of the system are mentioned in the end, detaileddescription of the user-level permissions, import and export system information and systeminformation query the specific method. Also system’s interface, function and performance areverified by software testing.Compliance information management system has been put into service and gets goodfeedback. The compliance risk management has been improved and enhanced obviously.