Research On Compliance Risk Control Strategy In Guangzhou Branch Of G Securities

In recent years,under the background of the rapid development of China’s financial market,securities companies have also encountered good opportunities for rapid growth and expansion.Innovative businesses have emerged in an endless stream.The development is also accompanied by various risks and hidden dangers.In order to standardize the operation behavior of securities companies and ensure the business development is in compliance with the law,China’s securities regulatory authorities have issued many laws,regulations and industrial rules as the basis for the internal management of compliance risk of securities companies.Compliance is an important cornerstone for the survival and development of securities companies.Securities companies should attach importance to compliance management,establish everyone’s risk awareness of compliance,control compliance risk through an effective compliance management system,adhere to compliance management,and lay the foundation for the sustainable and healthy development of the company.Based on the research of domestic and foreign documents,this thesis summarizes the solutions to the compliance management problems of domestic and foreign securities companies at present,and studies the compliance risk control strategy of G Securities Guangzhou Branch with the theoretical support of comprehensive risk management theory and information asymmetry theory,using the methods of literature analysis,case analysis and questionnaire.G Securities,as the leading securities company in China,has experienced many years of development,and its business development involves all aspects of the securities business,which further increases the difficulty of its compliance risk control.By combing the compliance risk management system of G Securities Guangzhou Branch,combining with the laws and regulations of external supervision and industry standards,the compliance risk of G Securities Guangzhou Branch is identified based on classic violation cases.Using qualitative and quantitative analysis methods,this thesis studies the existing problems in the current compliance risk control of G Securities Guangzhou Branch,explores the reasons behind the compliance risk,and proposes further optimization strategies for the existing compliance risk response of G Securities Guangzhou Branch.This study provides empirical basis and case supplement for the theoretical study of compliance risk management of securities companies,and has certain practical value for promoting G Securities Guangzhou Branch to achieve stable operation and improve market competitiveness.