Research On The Optimization Of The Compliance Management Of Brokerage Business In F Brokerage Branch

The external supervision situation of the securities industry in 2019 continues the trend of "strict supervision" in 2018,and preventing risks and controlling chaos has become the focus of this year's economic supervision.Xi stressed that the cost of illegal activities in the financial sector,especially in the capital market,is too low.At the same time,securities industry supervision on the basis of traditional supervision methods to further strengthen the field inspection of securities companies.Compliance management is the foundation of the establishment of a securities company.As an important business of a securities company,brokerage business is the basic channel for expanding and providing customers to exhibit their business.Its success or failure affects the overall development of a securities company.Based on the theory of compliance management,this paper analyzes in detail the compliance status of brokerage business of F securities company's branch: the branch has a large number of marketing staff,a wide business coverage,high staff mobility and a long management chain.The paper points out the risk events in investment consulting,margin lending and short selling,marketing management and other brokerage business: customer account information disclosure,marketing personnel privately financing on behalf of customers,monitoring loopholes in the compliance system,anti-money laundering work did not seriously perform to identify the identity of customers and other violations.In view of this phenomenon,the compliance management department of F securities company headquarters has carried out a series of optimization on the compliance management system of brokerage business of its branches.This paper USES the methods of literature research,case study and field research to point out the problems in the construction of compliance management system of brokerage business of branch offices and the optimization decision of compliance control by using "big data" and other systems.F.According to the internal control system of external rules of the industry,such as the trial provisions on compliance management of securities companies and anti-money laundering law,the securities company made use of the big data platform of the information technology department,investigated the top ten securities companies in the industry,and comprehensively improved the compliance management system,and successfully launched it in the branch.In the research process,this paper studies compliance management with the method of generality highlighting individuality and from the whole to the part,compares compliance management in the headquarters of a securities company with the management of branch brokerage business,and highlights the complexity of compliance management of branch brokerage business.In the research process of this paper,it enumerates the cases of illegal regulation in the same industry,andreveals the difficulty of compliance management under the current situation through the characteristics of new illegal means.This paper studies the compliance management of brokerage business of the branch of F securities company,highlighting the fundamental position of compliance management in the branch of the securities company and even the whole securities company.Improving the systematic compliance management system is helpful to standardize the orderly operation and steady development of securities companies.The innovation of this paper lies in the research on the integration of big data technology into the compliance management system of F securities company's branch brokerage business with the support of the legal compliance department and information technology center of the securities company headquarters,so as to carry out full coverage in other departments of the company.From marketing staff induction process compliance to compliance operation of the whole department,all can realize automatic information management and use of artificial intelligence for real-time automatic monitoring,put the system to the supervision department in the cloud for data sharing,the construction of the whole system of the securities industry compliance management will have a major significance,so as to promote the brokerage industry sustained,stable and healthy development.