Our Country Securities Company Risk Management Control Research

Securities companies as the main body, the participation of the capital market is the financial institutions operating risk, the basic business is to manage risk. Continuous development in recent years, with the securities market, the transformation of innovation with business, a securities company risk management also gave birth to them.Domestic regulators have issued a series of laws and regulations, strengthen the monitoring risk securities business institutions. Securities companies risk management consciousness, cultivate the culture of compliance risk control system gradually formed.But the rapid development of the securities market business and regulatory compliance requirements there are still many problems in urgent need of improvement. This article mainly from the domestic and foreign securities operation institution risk management situation analysis, combining with shenyin wanguo securities risk-control system architecture, to explore suitable for domestic securities business development risk management control research.Papers from securities company risk to identify with the necessity of risk management as the breakthrough point, combined with domestic and foreign securities companies risk management present situation, development risk in the process of case analysis, find out the risk management can be used for reference;Shenyin wanguo securities, for example, the problems existing in the development history from a review of the securities firm, the risks of crisis and the case, analysis of violations to the regulatory authorities to strengthen risk management, standardized operation on a path to the healthy development of securities company, by using the basic methods of risk identification and risk control theory, explore the securities company risk management system construction ideas.To establish risk management measures for innovation, business development, further improve to enrich the existing risk management system.This article explores the domestic securities companies from the original to guard against and dissolve the risk of passive compliance management, to seek the benefits and risks to match the active risk management.To compliance culture to foster overall risk management, strengthen risk internal control system construction, construction and organization system and business process from a source that can meet the needs of the operating risk of an effective control of the wind control system.To compliance culture to foster overall risk management, strengthen risk internal control system construction, construction and organization system and business process from a source that can meet the needs of the operating risk of an effective control of the wind control system.