Research On Investment Risk Prevention And Control Of Z Securities Company From The Perspective Of Internal Control

At present,the further strengthening and improvement of enterprise internal control is the top priority of the annual work plan of the regulatory department,especially in the financial industry where fraud has repeatedly occurred in recent years.As an integrated financial platform,securities companies pay much attention to the risks caused by their internal control.Because of this,the establishment of scientific and perfect internal control in the 21 st century is of great significance to the further innovation of securities companies in the future,and also continues to promote the rich discussion of the academic and financial circles on the design and optimization of the internal control system of securities companies.This paper takes Z securities company as the research object,focusing on its risk control.Z securities company has developed rapidly in recent years and is in a period of rapid development.It has a certain industry influence in the professional field.The research and analysis of the current risk prevention and control problems of Z securities company will help to provide a feasible path for the optimization of the risk prevention and control system of Z securities company.In the research process,combined with the internal control of the financial industry,especially the securities industry,and the standardization of risk management,it will broaden the internal control theory and the operation experience of risk control.Firstly,this paper introduces the general situation of Z securities company and the setting of risk prevention and control institutions.Based on COSO framework,an internal control tool,this paper analyzes the problems existing in risk prevention and control of Z securities company from five aspects: control environment,risk assessment,control activities,information communication and internal supervision,and analyzes the causes of these problems.Then,through the overall framework of COSO internal control,this paper puts forward the overall idea and optimization scheme of the risk prevention and control system optimization of Z securities company.Finally,based on the optimization of the risk prevention and control system of Z securities company,this paper puts forward some guarantee measures for the effective operation of risk prevention and control.