创新形势下证券公司的合规管理分析：以西南证券为例-(5497)

《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