The Study On Compliance Management Of B Securities Exchange

Generally it is believed the securities market is a high-risk market. As one of the majorplayers in the securities market, securities companies also contain a high risk in theiroperation. The operation risks of securities companies can be referred to as compliance risk.The compliance risk of securities companies will cause significant property and reputationlosses to the securities companies, even subject to law and regulation punishment. SinceChina Securities Regulatory Commission issued the Trial Implementation Provisions for theCompliance Management of Securities Companies in July2008, the securities companiescompliance work has been fully implemented. Either in terms of regulatory requirements, orfrom the demands of overcoming risks to seek development, the compliance management ofsecurities companies is very necessary and important. Compliance can create benefits. For thesecurities sales department has a high business proportion, their employees accounted fornearly90%of the total. Grasping the customer resources has made its compliancemanagement an important part of the compliance management work of the securitiescompanies. This paper carries out a study on the compliance management framework,management personnel and management practice system of the J securities sales department.Through case analysis and systematic analysis, to find out the difficulties and deficiencies ofthe compliance management work of J securities sales department. Aiming at the problemsappeared in the compliance management work of J securities sales department, to presentcomplete solutions. The topic in this paper is quite universal. For the compliance problems ofbusiness department are generally the compliance management practices, it has certainpractical significance and reference value to the sales compliance management work of theother securities companies.