Research On Compliance Management Issues Of GJ Securities

Compliance management is not only the core competitiveness of a securities firm,but also one of the crucial safeguards to the healthy development of it.The perfection of the regime and the correctness of the management system of science and culture will directly affect the survival and development of the enterprise.Currently,accompanying with the rapid development of the Chinese capital market and reform of financial industry,the securities firms should learn to keep the pace with the emerging opportunities and face up to the new challenges.How to ensure that the dramatically development of the securities firms complies with the relevant regulations has become the key issue to be solved.This paper applies the methods including literature investigation,comparative analysis and theoretical analysis to illustrate the problems and causation under the current situation of GJ securities firms' compliance management system.Based on the summation in the relevant theoretical construction of the compliance management system and the dynamic research on the compliance management,this paper systematically analyses the various issues of GJ securities firm in compliance management including cultural construction,human management,the independence of the management and the construction of the management system.