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| 论文编号： | 7955 | |
| 作者编号： | 2120132856 | |
| 上传时间： | 2015/12/9 0:38:02 | |
| 中文题目： | “互联网+”时代的券商内部控制研究——以国金证券为例 | |
| 英文题目： | Study on Internal Control of Securities Companies in The "Internet +" Era— A Case Study of Guojin Securities Company | |
| 指导老师： | 梅丹 | |
| 中文关键字： | 互联网券商；内部控制；改进措施 | |
| 英文关键字： | The Internet Securities Companies ; Internal Control ; Response | |
| 中文摘要： | 金融创新与证券公司的内部控制是我国资本市场永恒的主题。“互联网+”高效率、低成本、关注客户体验的特点，加之当前云计算、大数据、社交网络、搜索引擎等互联网技术的更新换代，使得证券行业传统的发展模式受到冲击。特别是李克强总理在2015年度政府工作报告中首次明确了制定“互联网+”行动计划，许多基于互联网技术的券商服务新模式应运而生，网络革命叠加金融改革的新局面业已形成。我国的证券公司通过积极探索和尝试了非现场开户、在线理财商城、与互联网公司合作、引入“互联网+”的战略投资者等方式开展业务，“互联网+券商”成为了市场关注的焦点。但在其迅速繁荣发展的背后，风险亦不可小觑，证券公司的监管和内部控制面临着新的难题和挑战。本文采用案例研究的论述方式，结合风险管理框架下的内部控制理论，首先对我国互联网券商的实践及内控现状进行了梳理；其次，选取当前互联网券商的典型代表国金证券为研究对象，对其新背景下内部控制的相关实务进行了五要素分析，识别了控制环境薄弱、风险评估不足、信息系统建设有待完善等内控问题；再次，就暴露出的风险和内控缺失等情况，提出了相应的改进措施和效果分析，为我国证券公司更有效率的应对互联网化转型过程中所遇到的内部控制难题提供有效借鉴。 | |
| 英文摘要： | Financial innovation and internal control are the main melody of the capital market in our country, " Internet + " with the characteristics of low cost, high efficiency, attention to customer experience, combined with the current cloud computing, big data, social networks, search engine technology, the traditional securities industry's development model is impacted. In particular, Premier Li Keqiang in the 2015 annual government work report for the first time to develop the " Internet + " action plan, a number of Internet based brokerage services new model emerged, the network revolution superimposed financial reform has been formed, China's securities companies to explore and try to open an account, online shopping, and Internet Co to set up a joint venture, the introduction of " Internet + " strategic investors and other ways to carry out business, " Internet + " brokerage has become the focus of the market. But behind the prosperity and development, the risk also cannot small gaze, the securities company supervision and internal control facing new difficulties and challenges. This paper uses the method of case study, combined with the internal control theory of risk management framework, the paper analyzes the practice and internal control characteristics of Internet securities firms. Secondly, we select the typical representative countries securities companies. Identify the control environment, risk assessment, information system construction to be improved, etc., and put forward the corresponding improvement measures and effect analysis. | |
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