Research Of Internal Control Risk Of SHENTAI Securities Company

Abstract:In the process of economic globalization, modern enter prises management and development are faced with various competit ions from outside. And to avoid the internal potential risk due to1ack of managing and controlling by enterprises, internal managemen t system needs to be adjusted constantly. Effective internal managem ent system is already the most important mean for a modern enterp rise to identify and avoid internal management risks, and the best i nternal supervision mechanism to help enterprise manage healthily. Security Company in particular, as the potential risks not only dam ages the sustainable development of itself, destroy the resource alloc ation in social market, also can brings negative effects to the whole country even the global. Since2013, the competition in security m arket in china became fiercer, profitability of SHENTAI Security Co mpany is under threat, and there are signs the market risks are gro wing.In this context, this article consults the theories of domestic an d overseas scholars, refers to the practices of security companies fr om home and abroad, by method of expert interview and questionn aire survey, discloses the management risks of SHENTAI Security Company in brokerage business, proprietary business, securities issui ng and sailing business, etc, and then makes a comprehensive analy sis to the finance control risks, accounting control risk, information control risk of SHENTAI Security Company. This article also analy ses potential problems of internal control system in SHENTAI Secu rity Company, discusses the goals and principles of internal control system, and comes up with a basic idea for SHENTAI Security Co mpany to improve its internal control system. Last are some concre te measures to promote its internal control system, optimize the inte rnal control process, and avoid probable internal fraud risks, guide SHENTAI Security Company to improve the capability in shielding against risks. This article is an important reference for optimizing enterprise internal management system, promoting security companie s in China develop sustainably.