基于后金融危机时代证券公司内部控制的研究的中期报告.docxVIP

基于后金融危机时代证券公司内部控制的研究的中期报告 摘要： 本文基于后金融危机时代的证券公司内部控制进行了研究，并通过实证分析了证券公司内部控制的现状、存在问题和未来发展趋势。本文采用问卷调查和案例研究相结合的方法，从管理制度、风险管理、信息系统等多个方面探究证券公司内部控制的情况，并对控制流程、内控变革、内部监督等问题提出了建议。 研究结果表明，当前证券公司内部控制存在一些问题，如内控监督不足，风险管理不完善，信息技术水平有限等，但随着内部控制相关法规的完善和技术水平的提升，证券公司内部控制将会得到进一步加强和完善。 关键词：证券公司；内部控制；后金融危机 Abstract: This paper studies the internal control of securities companies in the post-financial crisis era, and empirically analyzes the current situation, existing problems, and future development trends of internal control of securities companies. This paper adopts a combined method of questionnaire survey and case study to explore the situation of internal control of securities companies from various aspects such as management system, risk management, and information system, and proposes suggestions on control process, internal control reform, internal supervision and other issues. The research results show that there are some problems in the internal control of securities companies at present, such as insufficient internal control supervision, imperfect risk management, limited information technology level, etc. However, with the improvement of internal control related regulations and technology level, the internal control of securities companies will be further strengthened and improved. Keywords: securities companies; internal control; post-financial crisis