The Research On Compliance Management Of China’s Securities Company With Guang Fa As An Example

The construction of compliance management is the important guarantee of the securities company’s development, the perfection of the system, and the means of rich, culture correctly or not are close to the development of the enterprise. With the development of financial reform and financial innovation of the business, which has brought China’s securities companies’ opportunities also brought it some challenges, if the development of the company told not deviating from the compliance of the channel at the same time, it become the common problems of the China’s securities companies which need to face.Based on the theory of internal control, compliance management theory and the theory of internal control in corporate governance, combined with Gangfa negotiable securities to explore in the securities compliance management, analysis the principles and objectives of its compliance management system, influence factors, and internal operational mechanism as well as the existing problems and can improve the direction, and targeted puts forward some countermeasures and Suggestions to perfect the Guangfa’s negotiable securities compliance management system, this paper puts forward that only on a sound system of company compliance management, rich configuration compliance role and talents, build good positive compliance management culture, improve the ability of compliance risk identification and evaluation on the basis of, to improve the level of company compliance management, reduce the compliance risks brought about by a series of losses, so as to realize the goal of benefit maximization and sustainable development.