Internal Audit Of The Financial Shared Mode Xx Securities Companies Research

Securities company, as our capital markets in the most important and most influential of intermediary institutions, their survival and development levels direct impact on our capital markets and sound development. but as the securities industry itself to develop a short time, the securities industry relevant laws and regulations of the clauses or regulations have yet to be perfect, and many securities in the internal audit the supervision over the short, our company is becoming has become the norm. Therefore, the securities companies to avoid the risk must establish an effective, strict monitoring of internal audit system. the internal audit control system must be clearly defined objectives, in respect of manpower and administrative costs and would find the mistake and abnormal cases.This article to how to strengthen the sales and business department under the internal audit regulation as the basic starting point, in xx securities company's organizational structure, the financial management model and internal audit way for a xx analysis on the securities company's financial management system, and pointing out which it must to solve the problem and deal with the solutions. Describes how the "financial sharing service pattern" and how to finance sharing service to the strengthening of internal audit the necessity of the audit work, and put forward the establishment of the internal audit system "automation" the management wants to change the xx : securities companies by hand with the audit, including audit for the leading state, and establish a financial share centre, the realization of the company's financial management and financial information, , And by implementing the internal audit automation "with the sales staff and business department of management and supervision to control the business risk and reduce administrative costs and increase efficiency. the purpose of this article from a technical level of a" automation "internal audit system, from the feasibility of xx internal audit work for a more comprehensive and in-depth discussions.Securities companies engaged in is complex and full of the risk of financial activities must have a sound internal audit system, for the purpose of keeping away risks, correct and which are stricter regulations to protect themselves. and a financial share service pattern of internal audits of automation system, just to satisfy this need,It facilitates internal audit department to reduce the burden of work to improve the internal audit work of the internal audit also raised the results of the credibility and usefulness for a securities company, effective prevention of the business risk significance.