Haitong Securities Company An Aggregate Compliance Management Issues

Compliance is the securities company's foundation of vertical body, because it affects directly the securities company's safety, the prosperity and decline and the success or failure. Compliance is the basic safeguard of the securities company survival and development. In recent years, the development speed of the securities company of our country has draw bit. The important reason for this is that company's backstage support program is insufficiently powerful, specially compliance construction and the risk management is also weak. Compliance construction has became the securities corporate growth the essential condition, and it is the main question which needs to study.The paper analyses systematically the problems of Haitong Securities in compliance management base on expounding the correlative theory and investigating the actuality of Haitong Securities in compliance management. The problems include building fully corporate compliance management system, inadequate protection to perform their duties, compliance culture need to be strengthened, compliance risk is identification and assessment of inadequate capacity, the process of compliance management, quantitative and information need to be strengthened. And then, the paper proposes the countermeasures on consummating the Haitong Securities Corporate in compliance management base on using the experience of other countries for reference. Only in this way Haitong Securities Company can improve the level in compliance management, that is, establishing a sound internal compliance management mechanism, cultivating a good compliance culture, equipping abundant compliance resources, improving compliance risk identification and assessment capabilities, accelerating program, quantitation, informationization of the compliance management.