Applied Research Of Information System In Securities Companies Supervision

The securities business in china is developing rapidly in the last ten years, applying large amounts of advanced information system renewed stepwise. The information system is an important platform in securities transactions, information disclosure and customer management. On the contrary, the information system application in securities companies inspection falls behind. The inspection department of securities companies needs put stress on the construction and maintenance of information system seriously. Good information system will be able to reduce the inspection cost, improve the inspection efficiency, increase the transparency of market information, control the risk, and help the securities market develop healthily. That is very important and valuable.Nowadays, the information systems used in securities companies inspection are maintained respectively by the Information Center or the Department of Intermediary Supervision of China Securities Regulatory Commission (CSRC), or the Securities Association of China (SAC). Every system is unique in function. These information systems can bring about data redundancy, enlarge amount of work, and may cause impediment the effectiveness in securities companies supervision.The securities companies supervision must go along with the securities companies business. The information system should adapt to the developments of securities market and accord with the request of administrative organization. Nowadays, applied research in this field is seldom and short of the thorough thinking. This thesis has introduced the securities market, securities companies and current information systems in the securities business. From both the application of securities companies' information system and the characteristics of the securities companies supervision, this thesis has discussed construction tactics of the securities companies' supervision information system, in order to improve the supervision efficiency, to reduce the cost and the risk, and thus achieve the goal of stable development of the securities market.