Research On The Investor Appropriate Management Of Northeast Securities Company Limited

China's mainland capital market is a retail market with its own characteristics,where there have the large number of small and dispersed investors.With the special investor structure,the majority of medium and small investors are always exposed to risks in the securities market.Their rights and interests are vulnerable to violations of laws and regulations including insider trading,market manipulation and financial fraud.Strengthening the appropriate management of investors,as the most important task of investor protection,is the basis for the long-term healthy and orderly development of China's capital market.The “Measures for the Management of the Appropriateness of Securities and Futures Investors” was published,and a series of core contents including understanding investors and the classification of investors,understanding product and product service classification,fully revealing risk and risk matching,and strengthening internal management.It has become the first line of defense for safeguarding the legitimate rights and interests of investors and complies with the general rules of the international capital market.Northeast Securities Co.,Ltdas the only listed securities company with comprehensive licenses in the China northeast region,has a strong representation both in terms of asset size and business type.After the implementation of the new regulations on the appropriateness of investors,how to effectively implement the appropriate management of investors is not only the issue considered by the management layer of the Northeast Securities Co.,Ltd,but also it is the focus of securities regulatory authorities.This article thoroughly studies the theory of domestic and foreign scholars' works,papers,journals,and investor appropriateness management,studies the current situation of investor appropriateness management in overseas mature markets,and summarizes the existing literature and theoretical basis.At the same time,it summarized the existing problems in the management of the appropriateness of the Northeast Securities investors and found that the appropriate management of the company's investors is still in a transitional stage.There are problems such as imperfect systems and procedures,flawed implementation,inadequate supporting information systems,and investors' incompatibility.On this basis,from the internal and external aspects such as the current investors' adequacy management rules system is not sound,investors do not understand the lack of cooperation,the company's understanding of the appropriate management of investors is not in place,and the company's independent research and development capabilities of the supporting information system for the lack of proper management of investors andIn-depth analysis of the causes of the problems.In order to solve the problems existing in the investor appropriate managementof Northeast Securities Co.,Ltd,this paper puts forward corresponding optimization strategies to provide suggestions and references for the optimization of investor appropriate of the same type of securities companies.First of all,we will improve the workflow for the investors appropriate management,formulate the guiding principles for the investors appropriate management,and continue to elaborate the investors appropriate management procedures.Secondly,strengthen the management of the appropriateness of investors,establish a training system,clarify job responsibilities,establish professional positions for the management of investor appropriateness,and clarify performance assessment mechanisms.Once again,gradually establish an independent development team for the company's internal information system.Integrate the company's actual situation and embed the requirements of investors' appropriateness into various business systems.Excavate all types of information and data of the company's existing investors to form a personalized investor appropriateness management information system.Finally,we will strengthen the education of investors,increase the human,material and financial resources for investing in investor education,and maintain the sustainability of investor education activities.