Research On Internal Control Of Securities Companies

Securities company, which is the bridge between enterprises and capital market, plays an important role in the securities market, its special role makes it undertake different sorts of risks. As an important composition in economic, they have gained a lot of achievement in the past twenty years, but problems emerged as well, focusing on the internal control issue, which leads to the loss of control in the management and huge businesses loss in the company, or even influences the stabilization of capital market. The existence and development of securities companies depend on whether or not the risks can be resisted and resolved efficiently. Establishing an effective internal control system is an important means of controlling risks.Complying with the requirements of the "Securities Company Internal Control Guidance", the paper studies and designs the internal control of Securities Company, in order to gradually improve securities companies competitive ability. Basing on the correlative researches on the methods of internal control including the organization control, the authorized examination and approval control, the accountant control, the budget control, the property preservation control, the human resources control, the risk guard control, the inside report control, the management information system control, the internal audit control, the paper use cases to research securities companies' internal control, try to structure a framework which suit to Chinese market.