Research On The Issues And Countermeasures Of Compliance Management Of Guosen Securities From The Perspective Of Risk Control

For many years,securities companies have focused on the innovation and development of securities business.With the increasingly severe situation of securities supervision,securities companies have frequently violated laws and regulations,exposing the serious lack of compliance management of securities companies,and strengthening the construction of compliance management systems for securities companies.It seems particularly important.At present,with the promulgation of the "Securities Law" to "Administrative Measures on the Appropriateness of Securities and Futures Investors",the laws and regulations of the securities market have been established and improved.At the same time,the concept of compliance has gradually penetrated into the management of securities companies.This article adopts a combination of literature research,questionnaire survey and work practice to analyze the issues and countermeasures of compliance management of securities companies from the perspective of risk control.The article takes Guosen Securities as the research object.From the perspective of risk control,in theresearch of Guosen Securities 'compliance management issues and countermeasures,the article elaborates the research background and significance,the status quo of domestic and foreign compliance management research,and explains the risk control and Comprehensive risk management model framework for compliance management and Guosen Securities compliance management status.The article follows the logical main line of asking questions,analyzing the reasons,formulating countermeasures,and proposing measures to guarantee.From the perspective of risk control,from the perspective of employee compliance management,the construction and operation of compliance management systems and mechanisms,compliance management responsibilities,compliance In terms of regulatory management environment and other aspects,we evaluate the effectiveness of Guosen Securities' compliance management.We use a combination of grass-roots employee questionnaires and work practices to obtain real data and conduct further analysis.The article raises questions from employee awareness,organizational mechanism,cultural construction,system monitoring,etc.,and analyzes the causes of the problems.Based on the issues to be resolved and the cause analysis of Guosen Securities' compliance management,it improves the compliance team and the compliance organization.Establish a complete compliance assessment system,carry out compliance management cultural activities,and improve thecomprehensive risk monitoring system to formulate compliance management countermeasures,from reserve compliance professionals,optimizing the company's compliance management organization structure and responsibilities,compliance In terms of cultural security and the establishment of a sound risk warning mechanism,measures for compliance management are proposed.The study found that although Guosen Securities adopted a series of risk control measures for compliance management,there were still unforeseen risks,and progress in compliance management was hampered.The biggest reason was that employees' awareness of compliance management was weak,and further strengthening of employees Compliance management awareness also improves the company's hardware facilities for better compliance management.Based on comprehensive research,China's securities companies should build a more efficient compliance management system,from the top to the grassroots,and implement the compliance awareness and company values in order to better integrate risk control and compliance management into practice.