Application And Research Of Securities Company Comliance Management Platform

Compliance management of the Securities Company is a set of system, institutions, ways, and means to face its compliance risk. At the same time, it takes early prevention, dynamic monitoring, and effective management to decrease compliance risk to lower the lost that compliance risk has brought to the securities company. The practice shows that compliance risk of Securities Company relates to the behavior of not obeying the law and institutions. In fact, behaving against institutions will bring risks and crisis for Securities Company in credit, market and even law perspectives. Currently, as the degree of China takes place in globalization, our securities market has also joined the procession of globalization competition. Therefore, improving compliance management of Securities Company has become necessary. Actually, it is important to build official compliance management department and formulate long-term compliance management institution to monitor the common business of Security Company. Developing compliance management of Securities Company is beneficial and meaningful not only for self-development of the Securities Company, but also for the whole securities industry.Based on the above statement, this essay concentrates on the research of compliance management platform. Firstly, it introduces related definitions of compliance management of the Securities Company, research on the current situation of compliance management of Securities Company in both China and foreign countries, and the situation and problems in China. On the basis of the previous part, we should analyze the current situation and problems of compliance management platform of Qilu Securities Company. Then, we need to look for solutions for improvement, use historical statistics for analysis, and prove the results of improvement. Furthermore, the level model indicators of compliance risks have been built by using Analytic Hierarchy Process. Also, improved risk levels and indicators have been distinguished, qualified and analyzed. Finally, it has simply introduced the structure of Qilu Securities Company compliance management, has analyzed current problems, and has raised suggestions. By means of the above related work, I hope to bring changes for high-efficiency, developed procedure, and standardization to Securities Company compliance management, so that we can finally achieve healthy and sustained development for compliance management of Securities Company.