Brokerage Firm: Audit and Risk Supervision

Author: Gao Yonghe et al.
Publisher:
Publish Date: 2002-01-01
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, incorporating both theory and appropriate examples. From the perspective of securities audit, the book systematically analyzes the major business risks of securities firms and proposes specific risk supervision measures tailored to the specific conditions 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 and is suitable for managers and students in the fields of finance and auditing.