Case Study On Internal Control Of Guosen Securities Brokerage Business

As an important participant in the financial market,securities companies play a very important role in the market operation environment and play various roles,such as intermediaries,information providers,investors and principal agencies.Due to the numerous trading links involved,the market has higher requirements for the management and management standards of securities companies,and securities companies are also facing high risks in their daily operations.Especially in recent years,with the gradual development of the securities industry,the external expansion of China's securities companies and the continuous expansion of business scope,the risks faced by securities companies have become more and more out of control,and the complexity is getting higher and higher.Therefore,it is very necessary to deeply analyze and study the internal control system of current securities companies.Only by standardizing and improving the internal control system of each business of a securities company can the securities company's various businesses be effectively carried out and carried out.Guosen Securities is a top-ranking comprehensive large-scale securities company.Since its establishment,it has attached great importance to the construction and management of internal control system.After many years of accumulation and development,Guoxin Securities has a diversified business service system including securities brokerage and self-management,underwriting and recommendation,asset management,fund consignment and so on.Therefore,Guoxin Securities has its own business in China's securities companies.Good representativeness,can be used as a typical sample and case study and analysis.This paper chooses the Internal Control System of Guoxin Securities Brokerage Business as the research object,observes and evaluates the effectiveness of Guoxin Securities Brokerage Business Internal Control from a third-party perspective independent of Guoxin Securities,and analyses the actuality of Guoxin Securities Brokerage Business Internal Control by means of literature research,field investigation and inductive research,trying to put forward Guoxin Securities Brokerage Business Internal Control.The improvement measures of the system can also be used as a reference for the internal control work of many similar enterprises in China.This paper consists of five chapters: Chapter I Introduction,Chapter II Internal Control of Securities Brokerage,Chapter III Internal Control of Guoxin Securities Brokerage and the existing problems,Chapter IV Optimizing the Internal Control of Guoxin Securities Brokerage,Chapter V Conclusion.After deep analysis and inquiry,it is found that because the internal control system is still not perfect,there are still many problems in Guoxin Securities at present.For example,the lack of effective and reasonable risk prevention management mechanism,internal control has become a decoration,and there is no effective performance evaluation mechanism.The accounting control and the internal audit supervision mechanism are not mature,and from the internal control environment,internal control system,business requirements,information communication,internal supervision and other deep-seated analysis,propose a series of improvement measures,which include the improvement of the control activities.Sexuality,perfect supervision and inspection mechanism,sound information and communication mechanism,optimize risk assessment mechanism,strengthen efforts to build internal control environment,etc.