Application Research Of Compliance Management For National Securities Company

After risk breaking out and comprehensive management, China's stock market has now entered the steady development stage. At the same time, some securities companies as experimental unit began to build up compliance management system in 2007. Up to now, national securities companies have already built up compliance management system. In the process of developing, securities companies have to face the adjustment of system and working process, and also have to think about how to find out and deal with risk. In the compliance management system, regulatory department also have to face the challenge from changing regulatory idea and ensuring regulatory effect.Compliance system of Securities companies abroad is earlier and more mature than which is domestic. The experience abroad can be reference for us. But not every system can be fully used and copied. Combining with characteristics and development of domestic securities companies, we should study compliance management methods that are suitable for them.The essay will mainly study brokerage business including marketing and customer service of securities companies. Methods to manage compliance risk need improvement, the author will analyze it and give suggestions.