The Designation And Realization Of The Inner Control Platform Of The Security Company Based On The Risk Control

In recent years, securities companies have to face various kinds of difficulties, such as how to improve the level of management, and how to deal with the following awful situation, in which a huge quantity of capitals are usually embezzled lawlessly by some inner criminals. Many news about the contravention of securities' laws are reportrd, in these events, a large quantity of funds and people are involved. The fundamental method to deal with the risk control of securities companies is to establish and execute the risk control regulation with the assistance of information system.In this paper, the applications of the information technique in the risk control of securities companies is studied. Considered the actual of securities companies , the risk model is presented, and a prototype about a Securities Company's Inner Control Platform(SCICP) is designed and realized. Our work focuses on the following contents:1. After the description of the knowledge of the expert system is given, we put special emphasis on the description of the production rule, the condition and the conduction of the risk model and the rule of the risk model.2. Based on the risk model's reasoning and control strategy, the risk model of 'Trading by the counterfeitly increased security deposit' and the risk model of 'Transferring the customer's property illegally' with the actual of securities companies are presented, which provide a valid evaluation instrument for the risk control of securities companies.3. A prototype of SCICP is designed and realized, which adopt the Browser/Server architecture, and collect the business and finance information. This Risk Control System can also evaluate the risk degree in every business step from the built Risk-Model in this system.Our work has been applied in practice, and it is a preferable experiment that combines the expert system and risk control method, which provides the above-mentioned ideas and techniques into practice for securities companies' risk control.