Research On Customer Transaction Behavior Monitoring Of D Securities Company

Since the beginning of 2017,Shiyu Liu,Chairman of China Securities Regulatory Commission,has said the sentence what this year was the year of supervision,all in order to control the risk no less than three times in public,and than,the important things all must be say three times.The role of a stable securities market for a country's economic development is beyond doubt,and a risk-control of the securities market is the prerequisites that it can to enter the international.Securities companies as one of the front-line participants in the securities market,even more can not be ignored.Securities companies to control their internal risks,it can not be taken lightly in monitoring customer transactions.Securities companies are facing the customer directly,and also the direct monitor of their customer transactions,according to the severity of the abnormal behavior of their customers,the supervision authority will be give the securities company notice of <The Prompt Letter>?<The Warning Letter>? <The Risk Letter> and the so on.If the securities company has received The Letter,there is no corresponding treatment or effective to stop the occurrence of risk,The regulators will have tougher penalties for securities firms,It may even be shut down or held in trust.The so-called people no perfect,not to mention a securities company.Although the D securities company has gone through 24 years,but in the process of abnormal transactions on the customer's monitoring still be have loopholes,be received the relevant <The Prompt Letter> ? <The Warning Letter> ? <The Risk Letter> occasionally.As a medium-sized brokerage firm,D securitys company want to operate smoothly in the securities industry,except to sound operation,the main work are what control good of its internal risks and monitoring good of the customer abnormal transaction behavior that would lead to a variety of < Letter>.And d securities companies on the basis of existing monitoring to more effectively monitor customer abnormal transaction behavior and prevent the occurrence ofabnormal transactions of customers and prevent in the bud,It's going to be an effective monitoring system for customer abnormal trading behavior.To this end,this paper will be to find the problem,study the problem,solve the problem,and finally put forward the feasibility of the program as the main line for research writing.