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China’s banking, insurance and securities compliance risk management workhas been carried out to promote and, with more forming the compliance riskmanagement system. Futures industry as an integral part of the financial industry,started late due to futures companies, small scale, single, lack of talent, externalsupervision of big business and other reasons, before the2008futures companieshave not yet formal, comprehensive compliance risk management work. Aboutfuture corporate compliance risk management discussion of the theoretical andpractical aspects are very rare. With the rapid development of China’s futuresmarket and the continuous expansion of scale, diversification of the businesscontinues, both the regulators and the futures company, strengthen the futurescompany is regulatory risk futures company ensure to survival, development,2008,Chief Risk Officer of the China Securities Regulatory Commission issuedregulations implementing, indicates that China’s futures industry compliance riskmanagement official in full.This article through on domestic commercial banks, and insurance company,and securities company collection Board risk management situation for research,combination my futures market of development status and the h futures companycurrent collection Board management of situation, for h futures company collectionBoard risk management system framework does not sound, and collection Boardmanagement of duties does not clear, and collection Board culture missing, exists ofproblem for analysis, made reasonable of perfect, and solution measures.Text proposed by h futures company’s compliance risk management solutionsto the problems. The one hand, through the health legislative framework of thecompany’s compliance risk management system, clear system of senior and middle managers, functional departments, employee’s duties of compliance riskmanagement, emphasis on compliance from the top up, concept of compliance iseveryone’s responsibility. The other hand, the construction of the regulatory systemsof the corporate, you want to put the construction of rules and regulations in anoutstanding location, pay attention to system constraints people, regulate day-to-daybehavior of the system. Therefore be clear during the construction of the system ofconstruction of rules and regulations and the way, determine the content, scope andeffectiveness of the regulatory level. And then on the one hand, clear compliancemanagement functions only when there are clear functions can be managed moreeffectively. Compliance risk management should be done before, during and afterthe control, rather than a single audit checks can be solved. Compliance riskmanagement through the management of compliance consulting, compliancereviews, compliance check, compliance assessments, compliance monitoring,compliance reporting, as well as for control. Long-acting mechanism for ensuringcompliance risk management into full play, through the establishment ofcompliance risk management, compliance training, employee compliance manualcompliance accountability and performance assessment of compliance with theexternal supervision to achieve compliance management mechanism, strengthenactive compliance full awareness, promoting a culture of compliance form.This article mainly refers to other financial institutions, ways and means ofcompliance risk management, combining h futures company’s compliance riskmanagement status has been raised from a number of perspectives and solutions.
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