XY期货公司合规风险控制机制研究

发布时间：2018-07-12 22:07

本文选题：期货 + 合规风险　；参考：《湘潭大学》2012年硕士论文

【摘要】：期货公司的合规风险是指因未能遵循合规法律、规则和准则，而可能遭受法律制裁或监管处罚、重大财务损失或声誉损失的风险。我国期货行业由于起步较晚，发展不够成熟，近年来，我国期货公司虽然在探索构筑合规体系、提高合规意识和加强合规风险管理方面，取得了一定的成绩和经验，但离形成系统的合规风险管理体系还有较大的差距。我国期货公司一直没有一个系统化的合规风险控制机制，在借鉴其它金融行业合规风险控制机制的基础上，建立一套适合我国期货行业现状的合规风险控制机制是期货行业的持续、快速、健康、稳定发展的迫切要求，具有现实意义。本文通过分析国内外对合规风险研究情况，结合我国期货公司合规风险管理实际，对XY期货公司合规风险控制的现状进行了剖析，从而归纳、总结出XY期货公司合规风险控制存在的问题及原因，并深入分析了建立合规风险控制机制的必要性。在此基础上，本文就XY期货公司合规风险控制机制的设计背景及目标原则、逻辑结构和影响因素以及体系组成进行一定的分析说明，系统研究了XY期货公司合规风险控制机制的运行流程，并提出了相关的机制运行保障措施，为XY期货公司合规风险控制机制的实施扫除了障碍，有利于规避公司因合规风险带来的损失，，引导XY期货公司的业务活动及员工行为合规发展。
[Abstract]:The compliance risk of a futures company is the risk that a futures company may be subject to legal sanctions or regulatory penalties, significant financial losses or loss of reputation for failing to comply with compliance laws, rules and standards. Because of the late start and immature development of China's futures industry, in recent years, although China's futures companies have made some achievements and experiences in exploring the construction of compliance systems, raising compliance awareness and strengthening compliance risk management, However, there is still a big gap from forming a systematic compliance risk management system. China's futures companies have not had a systematic compliance risk control mechanism. On the basis of drawing lessons from other financial industry compliance risk control mechanisms, The establishment of a compliance risk control mechanism suitable for the current situation of China's futures industry is an urgent requirement for the sustained, rapid, healthy and stable development of the futures industry, which is of practical significance. By analyzing the domestic and foreign compliance risk research situation and combining the compliance risk management practice of our country futures company, this paper analyzes the status quo of XY futures company compliance risk control, and then summarizes the status quo of XY futures company compliance risk control. The problems and causes of compliance risk control in XY futures company are summarized, and the necessity of establishing compliance risk control mechanism is analyzed. On this basis, this paper analyzes the design background and objective principle, logical structure, influencing factors and system composition of the compliance risk control mechanism of XY Futures Company. This paper systematically studies the running process of compliance risk control mechanism of XY futures company, and puts forward the relevant mechanism operation safeguard measures, which clears the obstacle for the implementation of compliance risk control mechanism of XY futures company. It is helpful to avoid the loss caused by compliance risk and guide the development of XY futures company's business activities and employee behavior compliance.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F272.3;F832.39

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