A Study On The Internal Control Of Self-business Of Securities Companies With Everbright Securities As An Example

The business of securities companies is mainly composed of three plates brokerage,investment banking,self-service,self which is the business of securities companies in the name of the company,traded securities such as earned income and investment behavior relates to the use of its own funds,stocks and bonds,funds and various derivatives investment,it is self-evident role to the development of the company's proprietary business.At present,with the development and innovation of the securities market,the proportion of the investment in the securities business is increasing year by year,which is of great significance to promote the prosperity and development of the capital market.However,with the continuous expansion of China's securities companies proprietary business scale,the risk of proprietary business faces are increasing,at the same time because of the internal control system of China's securities companies proprietary business is still not perfect,the internal control of a series of problems,serious damage to the development of securities companies proprietary business,both for the development of the securities company or the capital market is a handicap.Therefore,it is urgent to study the internal control of securities companies and improve their internal control system.According to the domestic and foreign research literature about internal control,specifically for the securities company's own business internal control research is very little,which is unfavorable for the internal control of securities company's proprietary business operation in the process of the guidelines,because of this,combined with the characteristics of securities companies proprietary business is to study the corresponding internal control.Firstly,the overall situation of China's securities companies proprietary business internal control of the construction of the in-depth analysis,summed up the problems in the construction of the internal control process of proprietary business,combined with the analysis of specific cases Everbright Oolong refers to events of this proprietary business internal control,analyzes how to improve the internal control from the perspective of proprietary business the five elements of internal control,according to China's securities companies proprietary business internal control deficiencies and puts forward some countermeasures for perfecting the concrete.