A Study On The Construction Of The Compliance Management System Of China Galaxy Securities

In recent years, some major incidents of non-compliance with regulations in financialinstitutions have happened, which have resulted in large loss of property and reputation. Witha series of measures for comprehensive governance taken by Chinese government, such asfinding the real situations, classifying and handling accordingly, seeking both temporary andpermanent solutions, promoting mechanism formation and so on, the past risks of the securitycompanies have been defused and a healthy development momentum created for the industry.However, the Construction of a new system for innovative development and a standardizedoperation are far beyond our reach. Therefore, incidents still happen in security companies ina frequent manner, and the imperfect compliance management system encourages rapidunfolding of systematic risks. It is beneficial for continuous growth and orderly operation ofsecurity companies if they can study carefully the compliance management situations offinancial industry home and abroad, cultivate compliance culture, initiate the Construction ofinternal compliance inspection and supervision system and if the Chinese government canenhance the construction of legal system on compliance management.In accordance with related theories on compliance management, and with theemployment of literature research, surveys, statistic analysis, comparative analysis and so on,this thesis aims at exploring the existing problems in China Galaxy Securities with culturedevelopment, independence, guarantee mechanism and human resources of compliancemanagement and therefore comes up with coherent measures and suggestions on how tointensify the Construction of the compliance management system for China Galaxy Securitiesin terms of culture, relevant supporting mechanism, independence, guarantee mechanism,fundamental role, endogenous drive of compliance management by summarizing relevanttheories and study trends and analyzing the current situation, existing problems and origins ofthe Construction of compliance management.The Construction of an effective compliance management system is conducive toprotecting shareholders’ interests, increasing their value, and helping security companies cope with uncertainties and risks, grasp opportunities, and reduce the likely reputation damage andunexpected losses. In light of those advantages, compliance management has become aspecial technique for risk management necessary to security companies in the context of aflourishing and complicated modern market economy. This thesis is aimed at findingproblems existing in China Galaxy Securities about the Construction of compliancemanagement system, and advancing relevant solutions by conducting an in-depth study on itsConstruction of compliance management system, and furthermore, offering lessons for otherpracticing security companies.