Study On Management Of Introducing Broker Business Of C Securities

The introducing broker business of C securities provides convenience for investors to participate in financial derivatives, which has gradually become the stable source of intermediate business income. When the introducing broker business docking, it is the priority issue for C securities to solve that how to enhance the market competitiveness of introducing broker business subject to the operate compliance.The introducing broker business of C securities provides convenience for investors to participate in financial derivatives, which has gradually become the stable source of intermediate business income. When the introducing broker business docking, it is the priority issue for C securities to solve that how to enhance the market competitiveness of introducing broker business subject to the operate compliance.This thesis takes C securities as object of study, it analyzed the problems of the futures introducing broker business and proposed targeted solutions for risk management. There are five chapters in this article, the first chapter is the introduction; the second chapter is the literature review; the third chapter is the current situation and problems of introducing broker business of C securities; the fourth chapter is the analysis of management problems of introducing broker business of C securities; and the fifth chapter is the management counter measures of introducing broker of C securities.The focus of this research are three:Firstly, it is to analyze the internal conditions and external environment of introducing broker business of C securities in order to find out the business management strategy which suit for the actual situation of C securities.Secondly, it is to bring forward countermeasures of improving management by analyzing the problems that come from the headquarters, business departments and customers.Thirdly, it is to validate if the proposal is reasonable after implemented the new countermeasures.The characteristic and innovation of this paper is mainly shown in three aspects:Firstly, it is to implement performance indicator and marketing incentive policy and issue reasonable performance indicator to business departments based on the current situation which suit for introducing broker business of C securities so as to change the present situation that was excessive pursuit of high commission income happened in business department. Secondly, it is to specific the handling time of complaint from host department in the measures of the management of customer complaints, improve the present situation that the part of rules of C company is wholesome, close loopholes that business system and regulatory requirements are not synchronous update and avoid the regulatory risk effectively through the control of regulatory requirements.Thirdly, it is to specific the positions in the business management department through the decomposition of compliance and risk control duties, close the loopholes due to the neglection of service checking from the business management department after establish the quarter checking mechanism for the various business segments of business department.This paper has a practical significance to C securities on legal and efficient development of futures introducing broker business, and it also provides reference for other companies in the same industry when they are going to legally expand the introducing broker business.