Study On The Compliance Risk Management System Of Futures Company

At present, in China's banking and insurance, the compliance risk management has been promoted and carried out together. While China's futures industry as a part of the finance, due to late start, small-scale, business single, talent shortage, external supervision powerful and so on historical and practical reasons, the compliance risks management has not to be carried out officially and fully in the futures companies. With regard to futures company's compliance risk management theory and practical aspects of the discussion is also very rare. With the rapid development of futures market, the scale of the continuous expansion and business continues to diversify, it will become increasingly Strong for the regulatory department and futures companies which the necessity and urgency to establish an effective compliance risk management system,.The purpose and significance of writing of this article is that:On the base of the theory and practice results of the banks and other financial sector, combined with China's futures industry itself practical and characteristics, the forward-looking exploration and research is to establish an effective compliance risk management system for the futures companies, in order to promote the long-term, stable and healthy development of China's futures industry.Firstly, this article explains the concept of compliance, compliance risk and compliance risk management, and briefly introduces the research of the compliance risk management at home and abroad about banking sector. Secondly, it studies the reality about the futures company's compliance risk management, which mainly describes the evolution of compliance risk management awareness about China's futures industry and the status of compliance risk management about China's futures company; and which analyses the reasons of compliance risk management about China's futures company is so weak, and the necessity to strengthen the compliance risk management. Thirdly, it proposes the basic framework and the general steps of the compliance risk management system about China's futures company, combined the reality of China's futures industry. Lastly, it briefly analysis the mechanisms of the compliance risk management about the Lu Zheng Futures Limited Company.