Establish a complete performance appraisal and incentive system. The Audit Department regularly conducts a comprehensive audit on the compliance operation, profit and loss, risk monitoring, etc. of self-operated business, issues audit reports, strengthens the professional ethics and integrity education of self-operated business personnel, and strengthens their awareness of confidentiality, compliance operation and risk control. Before the personnel in key positions of self-operated business leave their posts, they shall be audited by the audit department.
Internal control of proprietary business:
Establish a "firewall" system to ensure that proprietary business is strictly separated from brokerage, asset management, investment banking and other businesses in terms of institutions, personnel, information, accounts, funds and accounting.
We should strengthen the centralized management and access control of self-operated accounts, establish a sound investment decision-making and operation file management system, and ensure that the investment process can be checked afterwards. Securities companies should establish an independent real-time monitoring system.
By establishing a real-time monitoring system to comprehensively monitor the risks of proprietary business, an effective risk monitoring and reporting mechanism is established, and the mechanism for correcting and handling the defects of proprietary business risk monitoring is improved.