Research On The Internal Control System Design Of IPO Business Of SW Securities Companies

Since2006, China’s stock market gradually from the bottom into a new period of development, the stock index continued high, trading volume continued to enlarge, into the infinite vitality for the securities market of our country, also has brought unlimited business opportunities for the majority of firms. While the securities market benign operation is essential to national economic security, stability and development, standardized, healthy stock market not only can effectively prevent risks, to ensure the function of securities market to play, but also can effectively promote the market and economic development. The securities company as the main body of the securities market, securities market is also the central operation, operation and healthy development of the securities company regulation can have a direct impact on the stock market during operation. But with the stock market of our country in recent years gradually mature and perfect, the IPO business showing a rapid growth trend, in the IPO business development at the same time, the supervision of the securities supervision and Management Committee in our country is also increasing, the transparency of the market is more and more high, if not IPO business risks of attention and to effectively prevent and control the risk, once the outbreak, will bring very serious consequences, even for the securities company’s survival threat. Therefore, it is necessary to study the system of internal control of securities company IPO business.This research starts from the theoretical framework, analyzing the theories of securities company IPO business, the system of internal control related theory summary, lay a necessary theoretical basis for following research; secondly to internal Soochow securities business of IPO control system present situation, starting from the company’s survey, study Soochow securities IPO business processes and internal control status; again on the existing problems and causes of internal control Soochow securities IPO business analysis; finally the design and implementation of the internal control system of Soochow securities IPO business, construction target and key factors starting from the system, to describe and internal control system from two aspects of system implementation, present the internal control system of IPO business and the implementation process. I hope that through this topic research, on one hand can enrich the research results on this topic in the academic circles from the theory, make up the domestic academic research on this subject, to provide theoretical guidance for the construction of internal control system of securities company IPO business; on the other hand, from the practical point of view, building design, internal control system Soochow securities company IPO business and implementation of reference, reasonable prevention, control of IPO business risks and provide reference, so as to continuously enhance the risk control ability of Soochow securities, promote the internal control system of Soochow securities company’s sound, so as to enhance the market competitiveness and the core competitiveness of Soochow securities company.