Research On The Internal Control Of Securities Companies Based On The Context Of Anti-Corruption

Internal control is an important and indispensable step in the enterprise management system. It plays a very important role in ensuring the reasonable and effective operation of the enterprise, the effect of operating efficiency and the true integrity of the financial information. Securities Company is an important intermediary in the stock market, and it is very important to improve the internal control of securities companies. The anti-corruption is an important part of internal control, while internal control is an effective way to fight corruption, and internal control is closely linked and indispensable. After the Eighteenth National Congress of the CPC, with the further deepening of the anti-corruption boom, highlighting the issue of corruption in the securities market, which makes it very important to improve the internal control of securities companies, strengthen risk management.This paper focuses on corruption under the environment of Guoxin Securities internal control through the normative research method and case study method, literature method and so on. Firstly, through collecting and sorting out the relevant literature, the enterprise integration of domestic and foreign securities companies, especially the impact of internal control mechanism of history, status quo and development trend, to grasp the influence mechanism of internal control of securities company’s shortcomings. Then through the analysis of the case study of the securities in the country, so as to get the problems of internal control in the anti-corruption level and the corresponding countermeasures. At the same time in-depth study of the securities companies in the country, to further grasp the internal control of securities companies to achieve the main results of the impact mechanism, the main experience of the formation of the main problems, and so on. There will be related consulting selected related fields of some experts, to broaden the thinking, deepen understanding. In this paper, the case, in based on the analysis of internal control related theory and for anti-corruption and analysis of securities market of internal control, using Guoxin Securities case further analysis of its present situation and the internal control system’s construction and the consummation.The main innovation of this paper lies in the securities company as the research object, the securities companies, internal control, anti-corruption work together, and further to seek the path and improvement of the internal control system of anti corruption. This paper with Guoxin Securities as a case analysis, comprehensive analysis of internal control theory and realistic development, and further from the internal control elements of for Guoxin Securities in the internal control development in all aspects of the existing problems and shortcomings, put forward to improve and strengthen a series of Guoxin Securities and internal control measures.