The Construction Of Internal Control System For Securities Company

Since the international financial crisis erupted, enterprises to strengthen internal control andrisk management requirements are more and more urgent. At the same time, the implementationof 《Basic norms of internal control》 promote the enterprise internal control constructionstrongly. The setting up and perfecting of internal control system, the Strengthen management ofthe risk and crisis and the security of enterprise sustainable development under double pressuresof government regulation and market competition, has generally become the management centerof large and medium-sized enterprises. Therefore, the perfect of enterprise internal control is notonly the need of enterprise development, and the need of external supervision, especially it is theurgent for the listed company. This article contains five parts, put forward some new ideas fromtheory to practice for the establishment and the consummation of the securities firm internalcontrol system:The general structure is:Chapter1is mainly introduced the background of topic selection andthe significance of topic selection and also introduce the basic theory of internal control. Do abriefly introduction of the production and the development of internal control, reveals thecharacteristics of the high risk, high return of securities industry, proposes the importance ofsetting up a securities company internal control system;In Chapter2,the United States and Japanas an example, discusses the foreign securities companies development history and the presentsituation of domestic securities companies. Get reference and inspiration. from the history andthe present situation of foreign securities companies;Chapter3from a securities companyinternal control objectives, principles, basic requirements and level on several aspects elaboratedthe theoretical framework of internal control of securities company, For the following discussionof internal control of securities company system provides a theoretical basis and practicaladvice;Chapter4describes the system of internal control of securities company system fromChina Merchants Securities, this chapter is also the most important chapters. Design a morecomplete internal control template from a subjective concept to objective system of corporateinternal control system, and make a detection and analysis of warning system through someindexes, to ensure the effective implementation of the internal control system;Chapter5isconclusion part, for the first few chapters are summarized, and some suggestions were putforward.