Securities Company Compliance Management System Research

A review of China Securities Industry for nearly ten years of development history, the domestic securities company has gone through the initial stage of exploration, blind expansion, industry crisis and comprehensive management after conventional development period, especially since2002, domestic securities companies violations occur frequently, systemic risk on the show, because loss is severe and the capital chain rupture resulting in a large number of firms to enter the industry to rectify or enter bankruptcy liquidation. Summary of domestic securities company risk management lessons, establish an effective compliance risk prevention system has become an important research topic.The article analysed our country securities company compliance management present situation and the existence question, and China’s compliance management system and the foreign mature securities market in compliance management organization structure and management model were compared, on the basis of the Qilu Securities as a typical case, the compliance management, compliance management system research and Analysis on Qilu Securities, the compliance management system implementation and guarantee measures.For securities companies risk excessive restraint affects profits, create value for shareholders too small, and securities companies too much involved in risky business is bound to increase the capital market risks, therefore, securities companies in the risks and benefits of matching to achieve maximum value, of the securities company’s steady operation has practical significance. Therefore, this paper innovatively introduces the theory of value creation and compliance risk control combination, to Qilu Securities as a typical case, the EVA index and RAROC index applied in Qilu Securities compliance management of securities companies in the comprehensive evaluation of exploration, compliance risk control and value creation and the relationship between, and analysis of Qilu Securities and regulation of risk control and value creation the relationship between general method framework, we hope to be able to China’s securities companies to establish compliance management system, promote the steady development of compliance management provides the beneficial reference and help.