A Research On The Internal Control Of Securities Companies

As the most important medi-institution, from its setting up, the securities companies have a function of bridge in Chinese capital market. As an important composition, they have gained a lot of achievement in the past twenty years, but problems have been emerged as well, focusing on the internal control issue, which leads to the loss of control in the management and huge businesses loss in the company, or even influences the stabilization of capital market. To resolve the securities companies'problem radically, reinforce the internal control is very important. In order to gradually improve securities companies competitive ability, basing on the correlative researches on internal control of securities companies, with a view to their development status of internal control, this chapter use cases to research securities companies'internal control , try to structure a framework which suit to Chinese market.