Securities Company Risk Control And Compliance Management

The author hope this article on the definition of compliance management and internal control theory is studied and applied to practice. The inauguration of a securities company is the first batch of pilot countries, the present is the compliance management of leading team, since 2007 has done a lot of investigation and research and in the work to be improved. This article mainly for securities company risk control and compliance management system architecture, violations of examples, the experience of the management three aspects to carry on the analysis, find out the common problems of compliance management development at home and abroad and are analyzed, and comprehensive research. The securities industry in our country should build a more effective management system, from top to the base to carry out the compliance of the values and culture of compliance, the entire industry should be in compliance with the high attention and recognition, such ability to risk control and compliance management really used in the practical work.