证券公司合规管理体系的现状、问题和对策

合规管理是企业全面风险管理的重要组成部分。近几年国内证券公司违法违规事件频发，系统性风险集中显现，与合规管理机制缺失密不可分。认真研究国内外金融业合规管理状况，加强国内证券公司外部合规法规体系建设，建立公司内部合规检查与监督机制，塑造合规文化，将有助于证券公司的规范经营和持续发展。

Survey of Securities Companies Compliance

Compliance management is an indispensable part of overall corporate risk management. Over the past years, compliance issues arose with Chinese securities companies, which could be attributed to loopholes in the system. It can be of positive implication to securities companies to standardize the operation and to achieve sustainable growth if they can make a serious study of compliance status of financial industry home and abroad, strengthen external compliance system, set up internal compliance enforcement system and foster compliance culture.