Risk-based Internal Control And Management

In the past several years, the scale of Chinese investment market makes a rapid growth. The IPO number of companies in the world i s more than many other countries, Security company make big progress in many areas. However, there are many problems in some companies, compared to the other investment bank of American. It shows that they have smaller scale, lower capital contribution, less innovation in services of securities, finally, making some disadvantages in depending risks. Some secur ity companies have many problems in Internal Control and Risk Management. In the paper, on the basis of risks many security companies are faced with, to find some questions in Internal Control and Risk Management of security companies, and make some ways to solve them. At the same time, writing the paper to warn aga i nst many secur ity companies so that they make some progress in Internal Control and Risk Management. Finally, I believe that our capital market will become better and better.In 1985, the system of COSO set up, after that, the internal control and risk management is widely used in the management of company and investigated, therefore, the investigate of internal control and risk management in security companies is in deep more and more. However, they specialize in traditional business more than new business, the new business is hardly. Many suggestions specialize in one side, have no comprehensive study.Because of the above, I will analyze comprehensively the risks of security companies, include the detail risks and universal risks, especially, the new business risk is more widely analyzed. And then, I will analyzed the present condition about internal control and risk management of security companies. Finally, find the ways to strengthen the internal control and risk management of security companies, new mind about company culture and EVA system will be sued to strengthen the internal control and risk management in theory, human Is treasured more and more, human is very important, it is obvious in security companies. Therefore, take the example of AVIC SECURITIES CO., LTD in internal control and risk management to make people understand how to make internal control and risk management in real ity. From AVIC SECURITIES CO., LTD, we can know more about the internal control and risk management of security companies, The subject of thesis is how to set up risk management system in security companies, promote the ability of risk management and allow security companies to bring forth new ideas, which make the development of security companies. The final target is to set up full system of risk management and advanced internal control merchandise.We can come to contents, just as follows:(1)The discuss of Internal Control and Risk Management about their concepts. (2)Chinese security companies are confronted with risks, it includes universal risks and some detail business risks: Universal risks include administration risk, credit risk, financial risk, policy and law risk, marketing risk, industry competition risk, human resources risk, The detail business risks include investment bank department risk, deal business risk, owner business risk and innovation business risk. (3)The problems and present condition of Internal Control and Risk Management about Chinese security companies. Just as fol lows:the disadvantages about relative law and department of managing, there are many problems in order about Internal Control and Risk Management of secur ity companies. At the same time, the disabilities of business control and disorder of risk management, besides, there are some contradictions between business and risk management, otherwise, agency by agreement is a big problem, discloser about system of risk management existents widely in many companies. (4) Conelusions and suggestions as follows:①the construction of law and order,②cultivate culture of company,③make good internal audition,④make full use of EVA system,⑤strengthen information and risk system,⑥make the example of AVIC SECURITIES CO., LTD in internal control and risk management, to make people understand how to make internal control and risk management. As the thesis of MPAcc, maybe it is not perfect, please relative experts help me to correct them, it will be highly appreciated.