【作者】 林芳；

【导师】 陈玲；

【作者基本信息】 福州大学 ， 金融（专业学位）， 2016， 硕士

【摘要】 近年来,国内外证券公司不断出现各类重大违规事件,不仅给证券公司带来了巨大的损失,也严重影响了金融市场秩序。为防范证券公司违规经营,我国证监会出台了一系列措施来防范证券公司合规风险问题,收到了一定的成效,初步形成了较为良好的行业发展态势,然而当前证券行业的风险管理现状与创新发展体系的目标要求还有一定的差距。国内证券公司仍然不时出现各种违法违规事件,说明当前证券行业合规管理体系不甚健全,系统性风险仍然存在。因此,在对国内外金融公司合规管理现状的调研分析基础上,从证券公司内部着手,建立健全管理监督机制,塑造公司合规文化,加强公司内外部合规管理体系建设,对于证券公司的规范化经营与持续发展具有重要意义。本文首先对合规风险管理研究的相关理论进行了论述,在此基础上对A证券公司当前的合规管理现状进行了深入调研,对其在合规管理上所存在的问题进行了分析,并对问题产生的原因进行了剖析,指出当前在A证券公司存在各类合规风险管理问题的原因主要有:公司合规制度不完善、市场竞争激烈所带来的违规经营风险、营业部组织架构及分工不合理、合规风险管理人员投入不足。针对A公司在合规风险管理上所存在的问题,文章提出了相应的改进完善措施,提出要在建立健全公司合规管理体系的基础上,培育公司合规管理文化,同时要提高对合规风险的识别与评估能力,提升公司的合规管理水平,实现A证券公司的健康可持续发展。更多还原

【Abstract】 In recent years,the domestic and foreign financial institutions continue to expose some of the major violations,the number of financial loss is amazing,the agency’s reputation severely damaged.Although the state has adopted a series of comprehensive management measures,including "try to find out the real situation,classification disposal,specimen and cure,formation mechanism of some means,the securities company’s historical risk has been basically resolved,a benign situation of the development of the industry also began to initially formed,but compared with the goal of innovation and development of the new system and the establishment of industry standard operation,the existence of the gap is also larger.Illegal events in the securities companies or frequently occur,not a sound compliance management system makes the system of risk focused.On the domestic and foreign financial industry seriously study the compliance management,shaping the compliance culture,the company set up a compliance inspection and supervision mechanism,and in the domestic securities companies to strengthen the external compliance management regulations system construction,help securities companies continue to develop and standardize management.In this paper,a comprehensive exposition of the related theories,in the full investigation of a securities company compliance management present situation based on,the system analysis,a securities company compliance management existence question:company regulations system construction to be Bongchang step sound;compliance management performance of duties inadequate protection;still need to strengthen the compliance culture construction;lack of compliance risk identification and assessment capabilities;compliance management process,quantity and information still needs to be strengthened.On the basis of fully using the experience of other securities companies in the domestic and international,the paper puts forward the countermeasures and suggestions to further improve the compliance management of A securities company.A securities company only by establishing and perfecting internal combination of compliance management mechanism,cultivate good compliance culture construction,equipped with rich resources of compliance to perform their duties,improve the compliance risk identification and assessment capabilities,to accelerate the pace of compliance management process,quantity and information,in order to improve the compliance and management level of the company’s,more effectively reduce or avoid compliance risk,in order to achieve sustainable development goals.更多还原