Research On Internal Control System Of H Securities Company

Any organization,any enterprise has internal control problems,internal control runs through the entire company,and supports the company management structure,which is the foundation of the company sustainable development,and the financial industry is no exception.Both theory and practice show that internal control is the foundation for the establishment,operation and development of enterprises,and all activities of enterprises are inseparable from internal control.As the main body of the securities market,securities companies provide financial services for investors and financial products for the securities market.Like most modern enterprises,their development is inseparable from internal control.However,the higher risk and vulnerability of securities companies determine that they are more special than other companies and require higher internal control issues.Therefore,studying the internal control system of securities companies not only has great value for the securities companies themselves,but also has far-reaching significance for the entire financial market.This thesis takes H Securities Companies as the research object,based on the COSO framework system,starting from the five elements of the framework,namely control environment,risk identification and assessment,control activities,information communication and feedback,supervision and feedback,and analyzing the status quo of the company internal control system.Analytic Hierarchy Process(AHP)qualitative and quantitative methods are used to evaluate the internal control system of H Securities,intuitive and clear identification of problems in the system,targeted improvement suggestions,and finally H Securities Company internal control management level has improved.The research on the internal control of H Securities can also provide reference for other companies in the securities industry and provide reference for improving the level of internal control.