论证券公司的内部审计工作

On the Internal Audit Work of Securities Companies

随着证券行业创新业务的发展,证券公司将进入优胜劣汰的时代,创新基础好、风险管理能力强、反应迅速的券商才有生存空间。证券公司风险管理能力面临着考验,证券公司内部审计的作用也愈发重要。本文从证券公司内部审计过程中应关注的几个方面入手,提出若干在实践中具有可操作性的建议。

With the development of innovation business of securities industry, securities compa- nies will enter the era of survival of the fittest, only the securities traders with good innovative foundation, strong risk management ability, quick response have the survival space. The risk management ability of securities companies are facing the test, the internal audit role of securi- ties companies is more and more important. This paper starts from several aspects that should be paid attention to in the process of internal audit of securities companies, and puts forward some operable suggestions in practice.