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Securities Risk Monitoring Legal Issues

Author: ZhengWei
Tutor: TaoLin
School: Southwestern University
Course: The basic principles of Marxism
Keywords: Securities Risk Internal Control External regulation
CLC: D922.287
Type: Master's thesis
Year: 2011
Downloads: 65
Quote: 0
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Abstract


After twenty years of development, China's securities companies has made remarkable achievements. At present, international financial risks in the context of securities companies are facing new competition and more sophisticated risk regulatory issues involved as a core subject securities, securities companies bearing on the level of risk monitoring and healthy development of China's securities market and national financial security, to enhance the international competitiveness of brokers seeking brokerage risk monitoring homeostasis, we are facing a major issue. The first part of the securities firm risk monitoring overview to explain the concept of risk monitoring securities companies, Recalling its main research theories and research system to clarify the securities company's risk monitoring is important. Analysis of the law in a securities company in the importance of risk monitoring and risk control securities companies realize that the two legal channels - internal control and external supervision. The second part of the securities firm's legal causes of risk analysis, starting with the system and non-system access - continuing operations - to exit the business and non-business brokerage three angles to divide the risks faced; Then focus from business risks and non- business risk perspective, analysis of existing business and new business, traditional legal relations, legal risk, risk causes and the corresponding solution. The third section describes the status of broker risk monitoring, risk status brokerages raised mainly international systemic risk, innovative business brings new risks, has not yet attracted enough attention to the risk of market access, brokerage group development potential risks; situation of internal controls, external regulatory status quo to do empirical analysis: the risk that the securities companies monitor the current problems. The fourth part focuses on the legal system of risk monitoring brokerage perfect way. First, focus on the existing problems, emphasizing the systemic point of view, from a risk control objectives, risk monitoring structures and mechanisms, brokerages internal control system, external supervision system, and to improve risk monitoring brokerages. Secondly, from the legislative, law-abiding, law enforcement, judicial strengthen risk monitoring guidance brokerage laws, norms, disciplinary functions. Eventually return brokerage risk monitoring significance of this case, that the securities firm legal risk when monitoring function without departing from the market itself needs and national strategic needs, seek a certain forward-looking risk monitoring homeostasis. In terms of innovation, this paper discussed internal controls and external regulatory risk securities firm legal control subjects; legal relationship from start to analyze the current business and innovation in the traditional brokerage business risks faced by the business risk monitoring is proposed based on risk monitoring system is emphasis should be from the regulatory capital flows, business linkage supervision, regulation and other aspects of financial conglomerates build system risk legal monitoring system, through systematic legislation and legislative forward to improve the effectiveness of compliance and enforcement: To improve the international competitiveness of brokerage guide brokerage bigger and stronger, at home and abroad to establish cooperation mechanisms risk monitoring more effectively prevent and avoid risks. Securities Risk Monitoring is an ongoing issue, this paper studies the structure of a system based on the future needs further research in practice.

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CLC: > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act
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