Research On Internal Audit Of Brokerage Business Of M Securities Business Department

Securities companies are companies in high-risk industries.Internal audit,as an important part of risk control,should be the focus of any securities company.For a considerable number of brokers,the securities brokerage business carried out by the securities business department is the most basic business and the most important source of income.However,it is not uncommon for securities companies to ignore the risks in the brokerage business and affect the overall development of the company.Therefore,securities companies need to pay more attention to the risks in the brokerage business in the internal audit work.M business department is one of many securities business departments subordinate to A securities company.Its brokerage business has many risks and the development of brokerage business has been poor.In this paper,we study A M sales brokerage securities company 's internal audit,the author collected and reference for the research of the internal audit activity of others,combined with the actual situation and theoretical basis,A brief introduction to the basic conditions of A securities company and the business department,analyze the present situation of A securities firm's internal audit system to analysis A securities company to M sales brokerage business audit,internal audit department of audit planning stage,audit implementation stage,the audit report and audit corrective stage,to find A M sales brokerage securities company internal audit in the existing problems and analyze the reason,further put forward the corresponding improvement Suggestions.In the context of increasingly strict financial supervision by the government and increasingly fierce competition in the brokerage industry,this paper aims to improve the audit quality of the internal audit of the brokerage business of M department of A securities company,and promote the operation level of the brokerage business of M department of A securities company to A higher level.Hope this research can be of the same type of brokerage business have some reference of internal audit function,in order to promote the development of internal audit,the brokerage business of securities companies make the internal audit to better service for preventing risks of securities brokerage business,make the internal audit in the securities brokerage business to better play the role of value-added in the operation and management activities.