Research on Internal Control Systems of Securities Companies

Author: Xie Rong Liu Hua
Publisher:
Publish Date: 2004-03-01
Features: This book first clarifies the practical significance of strengthening the theoretical research on internal control of securities companies in the introduction section through a step-by-step argument and proposes the research and framework of this book. From a systems perspective, it comprehensively examines and reflects on the fundamental and applied theories of securities companies using typical normative and qualitative research methods, aiming to achieve a scientific understanding of internal control in securities companies. The book emphasizes novelty and highlights the role of law, using the latest materials, especially in the field of laws and regulations, in its selection. In terms of argumentation, it takes a self-reliant approach, avoiding the mere listing of others' views and striving for innovation and development. As a product of the integration of internal control theory and the practice of securities companies, this book possesses considerable theoretical depth, serving as excellent research material and reference for internal control theorists, while also providing practical operational methods that hold certain reference value for the internal control construction of securities companies and regulatory authorities.