| 证券公司合规部门刍议 |
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| 引用本文： | 江玉荣,杨宇. 证券公司合规部门刍议[J]. 安徽农业大学学报(社会科学版), 2009, 18(3): 60-63 |
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| 作者姓名： | 江玉荣 杨宇 |
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| 作者单位： | 合肥学院基础教学部,安徽,合肥,230022;安徽农业大学人文社会科学学院,安徽,合肥,230036 |
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| 摘 要： | 合舰风险管理作为一门独特的风险管理技术，正在与证券公司其他风险管理—起被纳入到证券公司全面风险管理框架之中。对合规部门职责进行界定，理清其与证券公司其他部门的关系，探讨合规部门建立的模式，将有助于证券公司的规范经营和持续发展。
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| 关 键 词： | 合规部门 合规管理 证券公司 |
Discussions on Compliance Department of Securities Companies |
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| JIANG Yu-rong,YANG Yu. Discussions on Compliance Department of Securities Companies[J]. Journal of Anhui Agricultural University(Philosophy & Social Sciences Edition), 2009, 18(3): 60-63 |
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| Authors: | JIANG Yu-rong YANG Yu |
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| Affiliation: | 1. Department of Basic Teaching;Hefei University;Hefei 230022;China;2. School of Humanities and Social Sciences;Anhui Agricultural University;Hefei 230036;China |
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| Abstract: | The compliance management,as an special risk management technique,is brought intothe securities company risk management frame. To define the duty of compliance department and differentiate its duty from other departments and discuss its organization can help security companies to standardize their operations and achieve sustainable growth. |
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| Keywords: | compliance department compliance management Securities Company |
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