Dissertation > Excellent graduate degree dissertation topics show

Internal Control of Securities Companies

Author: ZhouHouQiang
Tutor: ZuoMingYang
School: Southwestern University of Finance and Economics
Course: Finance
Keywords: Securities company Internal control Conceive
CLC: F832.39
Type: Master's thesis
Year: 2005
Downloads: 658
Quote: 2
Read: Download Dissertation

Abstract


The positive operation of the stock market is important to the safetyof the national economy, the standand stock market is advantageous toguard against the risk and advantageous to promote the marketdevelopment, is advantageous to exertive various functions of stockmarket and even advantageous to protect the large investor of legalbenefits.The security company is the axis of the stock market, its normaloperation and development is extensive concerned by the society .Thiscan be seen from southern securities company, Mingfa securitiescompany in the last few years. Normal operation and healthydevelopments of the securities company have important meaning. Guaranteeing the normal operation of the securities company andhealthily development must strengthen the exterior supervising andenhance the internal control both side , the development of the foreignsecurities company practices that:The exterior supervising is veryimportant surely, but that the securities company basically strengthens theinternal controling construction is measure.Strengthening internalcontroling system of securities company has already become importanttopic that securities company is faceing in our country.This text is mainlyfrom the angle of the securities company self how to build up and perfectinner control. This text is divided into the four-part cent:Chapter 1 is innercontrol theories analysising.The internal control basing on the foundationfor interiorly making up, is regulated by the business enterprise managerin conducting the management creation, and is carried on the summarybut gradually perfect by the researcher.At first this text analyzes high riskcharacteristic of the securities company,so the internal control becomesvery important to the securities company because of serving as variousroles(the issuer and trader, investor, marginer, the information promoteretc.) and being placed in the core position of the stock industry on thestock market at the same time.The internal control is the most basicalguaranteeing of the securities company stability development. Chapter 2 analysis the internal contronl of developed stock market.Explainning important function of the internal control in the securitiescompany, immediately introduces the internal control of InternationalOrganization Securities Commissions (IOSC)and Hong Kong, finallyanalysis the internal control of the securities company of the UnitedStates:Inner-controlled and basic principle of American secuitiescompany, have very important meaning to our securities company toestablish the inner-controlled system.But also should point out is that: theinternal control management of American securites company modeneglects the important function of person in internal control to someextent.The internal control key still lies in whether valid performance, theinner-controlled insurance that the management is a kind of thought ideasubstantially, otherwise, good inner-controlled program design also willlose efficacy;The valid operation of inner-controlled system of Americansecurities companys have the related conditions and the mechanismsupporting, stipulation mechanism, encouraging the mechanism...etc. After carrying on foreign analysis of above theories, chapter 3 of thethesis introduces our country the development process of existencingcontrol the problem of the secuities company. Because the internalcontrol is a gradually perfect and regulating the system by oneself, soexisting internal controls problem of our country secuities companydistinguish from the control the environment, business controled andfinance information.Because the control environment guards against andcontrols the key place of the risk effectively, it affects directly to thesecurities company perfect degree of the internal control and therealization of the target of the management and strategic targetsextent:Currently the business of the our country securities companymainly is divided into:Agent business, investment bank business, self-runand management business with property, they are riskses of source withinthe secur

Related Dissertations

  1. Study on the Internal Control Issues of Highway Construction Investments,F540.34
  2. A Research on the Risk Management of Lanzhou PetroChina Kunlun Gas Ltd,,F426.22
  3. An Empirical Study of the family of listed companies in China governance structure of the internal control,F276.5
  4. Corporate governance structure of listed commercial banks in China to study of the effectiveness of internal control,F830.42
  5. A Study on Risk-oriented Internal Audit Control Evaluation System of Commercial Banks in China,F239.45
  6. The Research of the Internal Control Issues of Enterprise Group Based on Corporate Governance,F275
  7. Study on the Internal Control of China’s Listed Companies Based on Corporate Governance,F275
  8. A Study on the Development Strategy of China Securities Industry Wealthy Management Business: Based on the Situation of QiLu Securities,F832.39
  9. The Influence of the Corporate Governance Structure to the Internal Control Effectiveness,F276.6
  10. The Relativity Research of Internal Control Risk and Audit Charge,F239.4
  11. Perfect the Internal Control Mechanism of Social Insurance Administrative Institution in Jiangxi Province,F842.6
  12. Corporate Governance Effect after the Disclosure of Material Weakness,F224
  13. Research on Construction and Application of Value Chain Internal Control Framework,F406.7
  14. Research on the Internal Control of Life Insurance Company in China,F842.3
  15. Financial Analysis and Risk Control of Monopoly chain,F715.5
  16. A Study Base on Internal Control Focuses on Spare Parts Management of IT Maintenance Industry,F406.72
  17. Previous Research on the System for Prototype Large Flume Wave Generating,TV139.25
  18. A Research into the Money Laundering and Anti-Money Laundering Institution of Insurance Industry in China,F832
  19. State Owned Commercial Banking Operational Risk Analysis,F832.2
  20. Research Yancheng Telecommunications Corporation centralization of financial management and control model,F626.116
  21. Research on Information and Communication Element for Internal Control in China Commerial Banks,F830.42

CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial organizations, banks > Other financial organizations
© 2012 www.DissertationTopic.Net  Mobile