Optimal Design Of Huatai Securities Co.Ltd.’s Anti-money Laundering System

In recent years, frequent loundering activities of securities industry, has seriously affected China’s securities trading activities, strengthen the securities industry anti-money laundering system construction, is an important institutional guarantee for the fight against money laundering activities, this paper selects Huatai Securities Limited by Share Ltd as an example, aiming at the defects of the internal control system of the Huatai Securities Limited by Share Ltd, to design optimization control system for Huatai Securities Limited by Share Ltd, also puts forward experience and Enlightenment of the securities industry to strengthen anti-money laundering work, research has very important theoretical and practical significance.In the research process mainly using the literature collection method, theoretical research, investigation and case analysis, the focus of the study:one is to explore Huatai Securities Limited by Share Ltd anti-money laundering work experience and achievements, as follows:actively organizing anti-money laundering publicity activities, strengthening the anti-money laundering training, strengthen customer identification work, strict the implementation of the provisions related to the management of customer files, keep customer information, according to the people’s Bank of China financial institutions " report of large-sum transactions and doubtful transactions management approach " and its supporting regulations, perform the obligation of reporting. The two is that the Huatai Securities Limited by Share Ltd anti-money laundering system deficiencies, as follows: promote anti-money laundering work problems, anti-money laundering training specialized personnel shortages, suspicious transaction standards are not perfect, information submitted to the payment is unstandard, anti-money laundering on-site inspection efficiency is low and the needle is not strong, the anti-money laundering transaction system construction problems in the reverse the money laundering prevention and control. Aiming at Huatai Securities Limited by Share Ltd anti-money laundering system defect, this paper draws important conclusions:must strengthen to the optimization design of control system of Huatai Securities Limited by Share Ltd anti-money laundering internal, implementation steps are firstly to construct the Huatai Securities Limited by Share Ltd anti-money laundering internal control system structure from four aspects, including " know your customer ", identifying suspicious transactions and the report, the special account activity monitoring, internal control procedures; then aiming at these four aspects, to optimize the design of Huatai Securities Limited by Share Ltd internal control system of anti-money laundering. Experience and Enlightenment of the research that the security industry to strengthen the work of anti-money laundering in securities industry, strengthen anti-money laundering talents construction, strengthen anti-money laundering training and promotion of the securities industry, increase the input in science and technology, improve work efficiency, strengthen the construction of anti-money laundering internal control mechanism, incentive mechanism, and increase the " positive " anti-money laundering financial the incentive mechanism.