A Research Of Compliance Risk Control Mechanism Of XY Futures Company

The futures company’s compliance risk, and may be subject to legal sanctions orregulatory sanctions, material financial loss or reputation risk of loss due to failure tofollow compliance laws, rules and guidelines. China’s futures industry due to a latestart, the development is not mature enough, In recent years, China’s futurescompanies to explore establishing a compliance system, to improve awareness ofcompliance and to strengthen the compliance risk management has made certainachievements and experience, but from the formation of the system compliance riskmanagement system, there is a large gap. China’s futures company has not been asystematic compliance risk control mechanisms, on the basis of borrowing from otherfinancial industry compliance risk control mechanisms, the establishment of acompliance risk for the status quo of China’s futures industry control mechanism isthe futures industry’s sustained, rapid, healthy and stable development of the urgentrequirements of practical significance.This article through the analysis of the compliance risk research situation athome and abroad, and combining with China’s futures company compliance riskmanagement practice, analyzes the current situation of compliance risk control ofXY futures company, and synthesizes and summarizes the existing problems andcauses of the XY futures company compliance risk control, and analyzes theestablishment of the compliance risk control mechanism of necessity in-depth. On thisbasis, this article designs the background and objective principles, logical structureand influence factors and system composition of XY futures company compliance riskcontrol mechanism, and research operation process of compliance risk controlmechanism of XY futures company, and puts forward some relevant mechanismsafeguard measures, which unblock some obstacle for implementing compliance riskcontrol mechanism of XY futures company, and help avoid compliance risk damagein company guide the compliance development of business activities and employeebehavior of XY futures company.