Research On The Compliance Management Optimization Of W Sales Department Of G Securities Company

As an important subject in the financial market of the securities company,its business in the process of it contains high yield high risks.Securities companies com-pliance risk is not only detrimental to the customer and the image of the industry,and even the securities companies will suffer significant loss of property and reputa-tion,will be severely punished and even legal sanctions.Therefore,no matter from the regulatory requirements,or from the security company to overcome their own risk,seek the development of endogenous demand,the compliance management of securities companies on the securities company's vital role to the healthy and rapid development.In the long run,compliance management can also help securities companies to create revenue.In a securities company,the securities business department because of its business,a larger proportion of income accounted for more than 50%employees,accounting for nearly 90%,grasp the customer resources and other factors,the risk of the securities business department of securities company has become the most ba-sic risk,the securities business department of compliance management for the compliance management of securities company an important part of.In this paper,G securities company W Sales Department compliance manage-ment research is described.Starting from the basic concept and theory,put forward the background,basic content,history,management objectives of compliance man-agement,the origin of the theory expounded,proposes the research ideas and methods;followed by financial products sales compliance management as the research perspec-tive,combining questionnaire,summed up the limitations of the compliance man-agement of financial products sales point of view,in-depth analysis of its causes and system.Again from the G securities analysis of the external environment of G securi-ties W Department of the implementation of the compliance management of necessity and feasibility;finally,Optimization Countermeasures in the implementation of the compliance management of securities company G W business department from a strategic perspective,and from the perspective of A implementation through the Hong Kong stock fund products as an example to put forward four the specific implementa-tion methods and measures.