| In recent years, with the rapid growth of China’s national economy and the improvement of the overall level of the economy, the securities market has brought good development opportunities and conditions. In the process of continuous development of the securities market, the degree of competition of the securities market is gradually increasing. For securities companies and IPO business one of the riskier, higher yielding business, the ability and the level of business operation of the IPO can reflected a securities company for the degree of risk control and business operation, but also affect the securities companies and listed companies profitability. Especially with the continuous development of market economy, more and more companies get more financing through the listing, to expand the scale of their business development. IPO business for securities companies, is undoubtedly a strong potential, good profitability, but also a relatively high risk of business. Therefore, how to do a good job in the operation of IPO business, how to effectively achieve the internal control of the IPO business, has become the key to enhance the competitiveness and profitability of the current securities companies. As in recent years a securities company scale gradually expanded and innovation and development of business, the IPO business and other business management problems also gradually revealed, such as the occurrence of SW, CICC, China Southern Securities, Huaxia Securities, Everbright Securities "Oolong refers to events such as, revealing the securities companies in the Business Internal Control weaknesses and shortcomings. The existence of these problems not only affect the to and orderly development of the stability of the securities companies in our country, and due to the securities is an important part of the financial market of our country, thus it could pose a threat to the sustainable and healthy development of China’s financial market. Especially since the beginning of this year, the stock market has been a significant volatility, but also for the securities companies IPO Business Internal Control and management work sounded the alarm. Under the background of this kind of circumstance, it is necessary for internal control of securities companies in the IPO business research, and to seize the new opportunities of market environment, make full use of the rapid development of Internet technology and resources, explore new paths and methods of a under the environment of Internet Securities Companies in the IPO Business Internal control.Through using the method of literature review, this research status and achievements of the analysis, analysis of the current academic research on the weaknesses and shortcomings, the as an important part and the core of this thesis, enhance research value in theory, and makes the analysis of the relevant concepts and theories, lay a necessary theoretical basis. In a securities company as an example, through the research on the control system of a securities company IPO business, respectively from five aspects of the environment, risk assessment, control activities, information and communication, monitoring and control of. Comprehensive use of various kinds of theories and knowledge, the problems existing in the internal control of the IPO business analysis, using the method of case analysis, interpretation of reality IPO Business Internal control defects and classification and summarizes the existing problems. Finally new Internet banking environment and mode, put forward some countermeasures and suggestions to a securities company IPO Business Internal Control, build a new internal control system and the target, and carries on the optimization, can from the angle of practice for a securities company IPO Business Internal control ability and level of ascension provide guidance for other domestic internal control system for the IPO business of securities companies establish and perfect reference. |
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