新常态下证券公司风控合规管理模式选择研究

The Options on Risk and Compliance Management of Securities Companies under the New Normal Conditions

在外部监管转型和行业创新发展的背景下,证券行业违规问题和风险日益增多,行业亟需改进现有风控合规管理模式,提高风控合规管理水平。本文在调研的基础上,结合国内外风控合规管理实践,总结提出了四种风控合规基本管理模式,分别为风控合规前置模式、专职风控合规模式、风控委员会模式、风控集中化模式,并给出了各证券公司结合自身的战略目标、经营状况、业务特点、风险偏好、管理能力等配置不同的管理模式的建议。

There were more irregularities and risk events under the new normal conditions, with the significant transition of external regulation and the emergence of innovation and developments within the industry. Therefore securities companies needed to improve their existing compliance and risk management system to enhance their management level of risk control and compliance. This article proposed four basic modes of compliance and risk management for securities companies based on the industry investigation and the preactice of domestic and foregin compliance and risk management. Securities companies could adopt different management mode according to their strategic objective, operation status, business characteristics, risk preference and management capability. For this purpose this article provided some suggestion.