Operation Compliance Analysis On Y Subsidiary Fund Corporation

The development of subsidiary fund corporation is greatly motivated by regulatory innovation of management.As the special account manager of public fund corporations,the main task of subsidiary fund corporations is to expand the asset management business in the current period,and although developing rapidly,they still encounter several risks and challenges.There are uncertainties in their operation and development.Compliance of operation is the basis of development.It is urgent for subsidiary fund corporations and even the management to quantify the compliance of operation activities and seek for evaluation indexes.This paper makes a scientific definition of compliance management by referring to relevant materials and literature and further summarizes the importance of compliance.The paper takes an example of Y subsidiary fund corporation by plugging the real condition data of Y corporation into the evaluation system of compliance management,and then making analysis on its evaluation result to figure out current and potential problems in its compliance management as well as putting forward responding recommendations.This article is divided into five chapters.In the first chapter,this paper introduces the background,purpose and meaning of the selected subject,analyzes the contents of relevant literature,and develops the relevant analysis steps and methods.Chapter ii,based on the production and development of the fund subsidiary,provides an overview of the status quo of the management activities and the capital management business of the fund subsidiary.The third chapter,this paper briefly introduces the common principle of evaluation index model and the suitable situation,through expert interviews and other ways and integrate the industry related to compliance related conditions,optimizing the use of related compliance evaluation for fund subsidiary index data,so as to build up the evaluation system.Chapter 4,in the light of the actual operation compliance situation of the Y subsidiary fund corporation,evaluate the specific use of the Y subsidiary fund corporation and analyze its existing problems.Chapter five,the corresponding countermeasures are put forward for the problems of the Y subsidiary fund corporation.In this paper,the analysis results show that the company's operation management more than compliance category,but the secondary indicators still exists many problems: the personnel management system of more chaos,nicked management become a mere formality,the affiliated party transactions identification management does not reach the designated position,lack of sales program specification.In response to these questions,this paper puts forward: strengthen the management of practitioners and conduct regular checks;Increase compliance oversight and increase compliance awareness;Establish a system of related transactions and establish supervisory mechanisms;Strengthen the compliance management of back-office operations and reduce the operational risk;Conduct and conduct compliance,standardize sales procedures.The results of the analysis are expected to bring value to more companies and set the foundation for common standards.The innovation of this article is to adopt a more innovative approach to analyzing activities,In the past,most of them were focused on internal control issues,with few detailed evaluation metrics.In this paper,we set up the criterion evaluation system which is adopted by the optimum fund subsidiary,the evaluation system is divided into 1 and 2 indexes,Use analytic hierarchy process to determine the weight.Provide theoretical guarantee for the overall compliance operation of the Y subsidiary fund corporation.