Auditing and Risk Supervision of Securities Companies

Author: Gao Yongru
Publisher:
Publish Date: 2002-05-01
Features: This book comprehensively discusses the management and audit of risks in securities firms' brokerage, investment banking, securities proprietary trading, and asset management businesses. It also covers the audit of funds, liabilities, revenues, and expenses. The book provides both theory and appropriate examples. From the perspective of securities audit, it systematically analyzes the major business risks of securities firms and proposes specific risk supervision measures tailored to the specific situation of China's securities industry. The book thoroughly explores the management and audit of risks in securities firms' brokerage, investment banking, securities proprietary trading, and asset management businesses, as well as the audit of funds, liabilities, revenues, and expenses. It combines theory with relevant examples. Suitable for managers and students in the fields of finance, auditing, and related disciplines.