Perfecting The Internal Control Of Our Securities Companies

Through 20 years of development our countrys securities companies has begun to take shape. In 2003 COSO Commission issued "Enterprise risk management, an integrated framework",and released the most complete risk control framework finally in 2004. China’s regulators and securities companies aware the need to further improve the level of internal control, in recent years, in the joint efforts of regulatory authorities and securities firms, internal control system of chinese securities companies has been basically perfect,there are also many internal control related scholars have carried out extensive research.Everbright securities, for example, this paper first explains the internal control related theory, puts forward the concept of "double control", and analyzes the unique characteristics of securities companies, and analyzes the characteristics of securities of the company’s internal control is different from other industries, and laid a good theoretical basis for this article; Then this paper analyzed about the present situation of internal control of everbright securities, to discover its exist many problems in internal control elements, by the method of sum up of our country securities of the company’s internal control universal existence question has carried on the analysis of defects; Finally, the article USES the method of theory with practice, the securities company in China, the existing prominent problems, put forward to improve its internal control elements, strengthen the internal control system effective checks and balances.In today’s world, under the background of the securities industry increasingly competitive, this paper solved the problem of compliance with the business requirements for securities company, profit driven lead to weak consciousness of risk-control problems provides an efficient mechanism to ensure advice.