Research On Anti Money Laundering System Of Grassroots Securities Companies

Anti-money laundering is an important part of the daily work in the financial field.Anti-money laundering work has been carried out throughout the financial industry.Due to its own characteristics,the securities industry has many difficulties in implementing anti-money laundering.Only by constantly improving the anti-money laundering system in the securities industry can we effectively combat money-laundering activities.This paper takes X Securities Company as an eXample,analyzes the problems eXisting in the anti-money laundering system of X Securities Company,and optimizes the anti-money laundering system of X Securities Company,which not only helps the anti-money laundering work of X Securities Company to be carried out fully and effectively,From the eXperience of other brokers to find their own deficiencies.This will provide some new ideas and methods for the anti-money laundering work done by the grassroots securities companies in our country.This article mainly uses the literature inductive method,case analysis method,quantitative and qualitative combination analysis method,first from the establishment and revision of the internal control system and other three aspects of the X securities company anti-money laundering establishment of the working mechanism;Second,from the customer identification five The paper analyzes the legal obligations of X securities company in anti-money laundering performance.Thirdly,it analyzes the main problems in anti-money laundering of X securities company from five aspects of unclear responsibilities of anti-money laundering positions.The dissertation holds that it is necessary to improve the anti-money laundering system of X Securities Company and optimize it from five aspects: customer classification management,new business money laundering risk assessment,suspicious transaction monitoring and reporting,blacklist system and security system.