Study On The Compliance Management In Huatai Securities Co.,Ltd

There exist various types of risks, including market risks, operation risks, business risks, liquidity risks, legal risks, settlement risks and credit risks in the business process of Huatai Securities Co., Ltd. All these risks, in a broad sense, are generally referred to as compliance risk which may bring huge losses and even cause a fatal blow to securities corporations. This thesis conducts an in-depth analysis of the characteristics of Huatai Securities, and proposes the necessity and significance of compliance management from two aspects, namely, external supervision requirements and internal management requirements. Given the problems existing in Huatai Securities'compliance management, this thesis puts forward a complete set of solutions, including establishing organization structure of compliance management with compliance supervisor as the core, carrying out the solid compliance cultural development, setting up information barriers, developing compliance inspection, strengthening counter-money supervision and some other countermeasures, with the emphasis on achieving full compliance as the goal of compliance management. Moreover, this thesis also expounds in details how to launch compliance management work with regard to compliance management, which covers contents like compliance knowledge base establishment, compliance check-up, compliance monitoring, compliance cooperation, compliant and report, risk disposition, compliance assessment, suitability management, compliance effectiveness appraisal, information barriers and counter-money. Therefore, conclusions can be reached as follows:all-round compliance management is conductive to reducing and even putting an end to various risks that Huatai Securities faces, thus ensuring lawfulness and compliance of every business and chain of the corporation. It offers effective management methods for securities corporations to achieve full compliance and strongly safeguard corporations to prevent risks, maximize profits and accomplish the established strategic targets. By combining theory with practice, solutions provided in this thesis are to some extent of generality and practicability and have a strong operability, serving as guidance for other security corporations'compliance management work.