Research On A Securities Company's Compl Iance Risk Management

In recent years,the domestic and foreign financial institutions continue to expose some of the major violations,the number of financial loss is amazing,the agency's reputation severely damaged.Although the state has adopted a series of comprehensive management measures,including "try to find out the real situation,classification disposal,specimen and cure,formation mechanism of some means,the securities company's historical risk has been basically resolved,a benign situation of the development of the industry also began to initially formed,but compared with the goal of innovation and development of the new system and the establishment of industry standard operation,the existence of the gap is also larger.Illegal events in the securities companies or frequently occur,not a sound compliance management system makes the system of risk focused.On the domestic and foreign financial industry seriously study the compliance management,shaping the compliance culture,the company set up a compliance inspection and supervision mechanism,and in the domestic securities companies to strengthen the external compliance management regulations system construction,help securities companies continue to develop and standardize management.In this paper,a comprehensive exposition of the related theories,in the full investigation of a securities company compliance management present situation based on,the system analysis,a securities company compliance management existence question:company regulations system construction to be Bongchang step sound;compliance management performance of duties inadequate protection;still need to strengthen the compliance culture construction;lack of compliance risk identification and assessment capabilities;compliance management process,quantity and information still needs to be strengthened.On the basis of fully using the experience of other securities companies in the domestic and international,the paper puts forward the countermeasures and suggestions to further improve the compliance management of A securities company.A securities company only by establishing and perfecting internal combination of compliance management mechanism,cultivate good compliance culture construction,equipped with rich resources of compliance to perform their duties,improve the compliance risk identification and assessment capabilities,to accelerate the pace of compliance management process,quantity and information,in order to improve the compliance and management level of the company's,more effectively reduce or avoid compliance risk,in order to achieve sustainable development goals.