| Under the environment of modern economic market,with the rapid development of the securities market,the demand of securities companies began to increase,the business became diversified,and some problems gradually emerged.For example,management fraud,risk identification is not in place,information asymmetry,risk management and control system is not perfect,which seriously hinder the development of securities companies.Therefore,facing this series of problems,it is extremely important for securities companies to improve their internal control if they want to develop stably.In recent years,blockchain technology has emerged.It realizes data traceability and is difficult to tamper with through encryption algorithm,making the accounting process more transparent and curbing management fraud to the greatest extent.If securities companies can use blockchain technology,they can further improve their internal control and better promote the development of securities companies.In this context,based on the development of blockchain technology,this paper analyzes the internal control of securities companies,focusing on the advantages and disadvantages of the application of blockchain technology in the internal control of securities companies.First of all,this paper studies the internal control and blockchain technology and other related theories as the support.Based on the research of other scholars,the necessity of the application of blockchain technology in the internal control of securities companies is analyzed,and each element of internal control is analyzed one by one.Secondly,considering that Haitong Securities is one of the stronger securities companies in China,and has made some achievements in the application of blockchain technology.Taking Haitong Securities as an example,this paper introduces its risk management and architecture,and analyzes the background,key,process and effect of applying blockchain technology in the company’s internal control.It focuses on the four aspects of EHaizhi Chain’s customer data collection and transmission,data storage in backup,data verification and update,and screening and processing of high-risk customers.By comparing the effects and risk control indicators before and after applying blockchain technology to internal control,the applicability and effectiveness of blockchain technology to internal control of securities companies are further explained.Finally,the paper summarizes the application value and shortcomings of blockchain technology in the internal control of Haitong Securities,and puts forward corresponding countermeasures and suggestions.This paper analyzes the internal control of securities companies from the perspective of blockchain technology.On the one hand,it hopes to provide more thinking angles for scholars,improve relevant research and enrich their research results.On the other hand,taking Haitong Securities as a benchmark,it provides reference and suggestions for other securities companies,so as to further improve the internal control of the company. |
