我国证券公司合规风险管理存在的问题及对策

发布时间：2018-04-28 22:26

本文选题：合规风险 + 合规管理　；参考：《企业经济》2011年10期

【摘要】：合规风险管理是企业全面风险管理的重要组成部分。近几年国内证券公司违法违规事件频发,系统性风险集中显现,与合规管理机制缺失密不可分。文章分析了合规风险管理中存在的问题,并就此提出在健全合规机构和合规队伍、建立全面的风险监控系统、建立完备的合规绩效考核、合规问责、诚信举报制度、开展合规文化教育等方面的相应措施。
[Abstract]:Compliance risk management is an important part of enterprise overall risk management. In recent years, domestic securities companies break the law and violate regulations frequently, and systemic risk is concentrated, which is closely related to the lack of compliance management mechanism. This paper analyzes the problems in compliance risk management, and puts forward the following suggestions: to perfect compliance institutions and compliance teams, to establish a comprehensive risk monitoring system, to establish a complete compliance performance evaluation, compliance accountability, and integrity reporting system. To carry out corresponding measures in respect of compliance culture and education.
【作者单位】：淮阴工学院经济管理学院;
【分类号】：F832.39

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