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ID:33012587
大小:3.01 MB
页数:53页
时间:2019-02-19
《创新形势下证券公司的合规管理分析:以西南证券为例-(5497)》由会员上传分享,免费在线阅读,更多相关内容在行业资料-天天文库。
1、万方数据创新形势下证券公司的合规管理研究:以西南证券为例本文的不足之处有:一是本文是基于实践的应用型研究,在理论研究方面不够全面和深入;二是本文在数据统计方面比较缺乏,且未进行过数据测算。对合规风险的量化管理,也是现代合规管理的一个发展方向,后续基于数据统计,运用定量分析工具与定性理论方法相结合的研究范式,可进一步深化在该领域的研究。关键字:合规;转型创新;信息隔离墙;综合治理万方数据AbstractAbstractAsthesectorallocatingcapital,thefinancialindustryhass
2、trongpublicityandspillover,whoseoperationconditionhasanimportanteffectonthenationaleconomyandpeople’Slivelihood.Thusallcountrieshavestrictcompliancerequirementsonthefinancialindustry’Soperation.ThesecuritiesindustrystartedlateinChina.Compliancemanagementsystemwas
3、formallyestablishedinthesecuritiesindustryin2007.Thoughitestablishedlessthan10yearssincenow,theestablishmentofthecompliancemanagementsysteminthesecuritiesindustryplaysavitalroleinregulatingsecuritiesbusinessinstitutions’businessandstaff’Spractice.Sotosay,thedevel
4、opmentinChinasecuritiesindustryinrecentyearsthankstotherapidgrowthofdomesticentireeconomyandthecapitalmarket.Ontheotherhand,itbenefitsfromtheescortofcompliancemanagementsystem.Inthestudyofsecuritiesinstitutionsoperatingpractice,themimedresearchesconcentratemoreon
5、marketrisk,creditrisk,etc.,whileresearchoncomplianceriskareratherless.Infact,asakindofbasicrisk,ifcomplianceriskOCCurS.itiSlikelytocausemarketriskandcreditrisk,whichwillbringseconomiclossesandReputationaldamage.Ifseriouscomplianceriskhappens,itwillprobablythreate
6、nthebasicsurvivalofsecuritiesinstitutions,eventhewholeindustrywillbeaffected.Thispaperwiththecomplianceriskmanagementasthecore,takesSouthwestSecuritiesCompany,Ltdasanexampletoresearchoncompliancemanagementsituationofthesecuritiesindustryandthesouthwestsecuritiesu
7、nderthefullyinnovationconditions.Basingonlookingbackthehistory,summarizingthecurrentsituationandproblems,itfullydemonstratesandthenprovidesreferenceandthesuggestionfortheimprovementoncompliancemanagementwork.ThemainlyresearchcontentsItisaboutthepresentsituationan
8、dproblemsofthecompliancemanagementinSWSC.Relevantcontentswillbepresentedinthe3rdpartofthisarticle.This万方数据StudyonSecurityCompanies’ComplianceManagementunderthe
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