Empirical Analysis On Compliance Risk Of Securities Company's Business Departments

In recent years,with the rapid development of China's securities market,a large number of risks and problems have emerged,such as credit risk under high leverage,malicious speculation in the stock market,and the appropriateness of investors,which disturb the operation order of the capital market.Behind these risks are a series of contradictions caused by the ignorance of customer identification by securities companies,China Certificate.In recent years,the Regulatory Commission has been paying high attention to the compliance development of the business department of securities companies.On the one hand,the business department and the general manager's Office of the business department are the basic forces for the development of China's capital market.On the other hand,the business department of securities companies is also the first line of defense for capital market risk management.Shenzhen Securities Regulatory Bureau released the "Research Report on Compliance Management System of Securities Industry" in 2006,which opened a special research on compliance management of securities industry,and put forward ideas and suggestions for the framework of compliance management of securities companies in China.In this context,China's securities companies have established compliance wind control departments,joined the compliance management in the process of business expansion,and put the establishment of a compliance culture of securities companies on the agenda.On this basis,the content of compliance wind control in the business department of securities companies is to study and develop the risks faced by the business department.At present,this paper discusses the risks faced by China's securities companies,compares the advanced risk control and management experience of foreign countries,reorganizes the problems and causes in the development process of China's securities companies,and then focuses on the customer identification problem of China's securities companies' business department for in-depth study,through qualitative analysis of customer identification risks and securities firms.Taking the customer data of F Business Department of Z Securities Company as an example,this paper summarizes the methods of defining the risk of customer identification,and finally puts forward reasonable suggestions on the compliance control of the business department of securities company in the light of the background of market economy and capital market with Chinese characteristics.Through this study,it has a positive role in promoting the effective control of Z Securities Company's customer identification risk,and can also provide some reference value for the customer risk management of other securities companies in China.