Research On Compliance Management Of X Securities Company Based On Comprehensive Risk Management Theory

If compliance is the lifeline for the sound development of securities companies,then compliance management is the "blood" that supports this lifeline.Currently,the market situation is becoming increasingly complex,business models are emerging,and business risks are increasing.This requires securities firms to improve their overall risk management capabilities and strengthen compliance management.Securities companies are an important fulcrum of the social economy,but also an important participant in the capital market reform,not only shouldering the responsibility to serve the majority of investors,but also undertake the mission to serve the real economy of society.Therefore,it is crucial to build a compliance risk control defense line to ensure the healthy development of securities companies and the safe and smooth operation of various businesses.The object of this thesis is X securities company,which belongs to the listed A securities company.The business variety is diversified and the management is relatively standardized,which is representative.In addition,the company is currently launching a number of reform initiatives,not only to promote the transformation of wealth management,to create a professional customer life cycle characteristic service,but also to explore the path of service differentiation,and to build a comprehensive risk management system to adapt to it.In this context,the investigation and research on the performance and related problems of the compliance management of X Securities Company can not only ’peep into the whole panther’,but also hope to play a reference role for peers.In the introductory section,this thesis provides a brief overview of the background significance,content and methods,techniques and tools of compliance management research.After that,the existing research results in the field of compliance management are compiled.On this basis,a series of important contents highly related to the compliance management of securities companies,such as the current regulatory environment,compliance management status and existing problems of China ’s securities industry,are elaborated.This thesis uses literature research method,case study method,interview method,hierarchical analysis,etc.,Using internal first-hand information and data,we analyzed the current situation and problems of X securities company’s compliance management from the perspective of comprehensive risk management,and proposed the optimization plan and safeguard measures for securities company’s compliance management.Through investigation and research,this thesis finds that X Securities Company’s compliance management has problems such as weak execution,poor implementation of compliance assessment,and insufficient team building.After full research,analysis and in-depth thinking,it is proposed to establish a comprehensive,effective and scientific compliance management optimization plan mainly from the aspects of risk identification,control,evaluation,and supervision.It mainly includes strengthening the construction of compliance culture,enhancing system execution,attaching importance to the building of compliance talent team,improving assessment mechanism,strengthening business process control,standardizing indicators and standards,giving full play to the role of audit and auditing and accelerating the construction of information system.