Summary of the work of the head of the auditing department of the securities brokerage company
I, the head of the auditing and auditing department, adhere to the principle, focus on the overall situation, safeguard the company's interests, obey the arrangement of the company's leadership, dedication, hard work, deepen the work skills, and strictly abide by the company's rules and regulations.
De: Integrity, respect for employees, unity of colleagues; as a member of the Democratic Party, always adhere to the leadership of the Communist Party, consciously accept the leadership of the Communist Party, and study in depth to commemorate the 60th anniversary of the "May 1 Slogan" issued by the Chinese Communist Party and the Third Plenary Session of the Eleventh Central Committee The spirit of the meeting. In politics, he constantly demands progress, and is dispatched by the party to participate in the training and training of democratic party cadres in the provincial and community colleges, which has further strengthened the leadership of the Communist Party.
Yes: During the year, I successfully passed the senior accountant review and obtained the qualification of senior accountant. I participated in the competency test for the compliance management personnel of securities companies, but unfortunately failed to pass the test.
Qin: Conscientiously abide by the company's labor discipline, never die for no reason, be late and leave early, and strictly implement the company's invitation and vacation system.
Achievements: This year, with the joint efforts of the employees of the department, the following work was successfully completed:
1. Review of the regular work contract agreement. In the current year, we reviewed more than 80 contracts of relevant departments and sales departments of the company headquarters, and proposed more than 10 amendments and suggestions. For example, it is recommended that the company does not implement the business premises of the business department. The post-earthquake housing maintenance plan of the new business department should be reported. The property owner agrees to implement it; the five-way business department rents the house to recommend reviewing the legal procedures of the lessor and the company headquarters to purchase property insurance for risk warnings and so on. Most of the recommendations were adopted.
Revision and improvement of the company's rules and regulations.
1. According to the account requirements of the account specifications, it is proposed to modify and improve the "Customer File Management Measures";
2. In order to further standardize the large-scale withdrawal behavior of customers and strengthen risk prevention and control, according to the compliance management requirements of the regulatory authorities, it is proposed to revise the “Customer Securities Transfer Bank Capital Caps Regulations”;
3. In order to improve the broker commission return operation process and ensure that the broker commission refund program is compliant and accurate, it is recommended that the brokerage business department revise some provisions of the company's “Interim Measures for the Administration of Account Managers in the Sales Department”;
4. Examined the “Administrative Measures for Banking Managers of Chuan Cai Securities”, suggesting that the marketing team should be formed by the sales department rather than the market development department;
1. It is recommended to implement the relevant rules for existing customers and settlement rules in accordance with the relevant provisions of Yinfa [] No. 129.
Report review and submission.
1. Comprehensive supervision report of the company headquarters. The basic information of the company's headquarters comprehensive supervision report will be reported on time and the statements of each department will be reviewed on time; printed and submitted to the Sichuan Regulatory Bureau of the China Securities Regulatory Commission on time.
2. Comprehensive supervision report of the sales department. Since July of this year, the department has been urged to report the comprehensive supervision report of the sales department on time, and to review the statements of each business department, and to point out the errors and supervision and revision in the report in a timely manner. At the same time, the sales department will be instructed to submit the report on time and the monthly report from January to June.
3. Self-discipline report. Submit the self-discipline report required by the China Securities Industry Association on time every month.
4. According to the relevant requirements of the “Administrative Measures for Risk Control Indicators of Securities Companies”, according to the adjustment of the departmental responsibilities of the company, the Ministry of Housing has undertaken real-time monitoring of the implementation of risk control indicators such as net capital from December, on the calculation of net capital, risk. The authenticity, accuracy and completeness of the capital preparation calculation table and the risk control indicator supervision report are subject to irregular audit and audit, and are responsible for submitting reports on the level of risk control indicators.
Audit audit.
1. Regularly review the “System Setting Audit → Cost Setting Check” through the company's internal control platform to ensure that there are no major errors in the company's total customer fee setting. In this inspection, only one customer's commission setting standard was lower than the customer's required level, and it was submitted to the relevant department for modification, and no loss was caused to the sales department.
2. In response to the government's policy of lowering stamp duty and reducing interest tax in October, the printing tax collection standard and interest tax withholding ratio were promptly checked. Ensure that corporate tax practices are consistent with tax policies.
3. In December, due to the change in the bank's current interest rate, the counter system interest rate setting standard was promptly checked. At the same time, it is agreed with the relevant departments of the company to modify the company's existing interest-bearing and settlement rules to ensure that the company's behavior does not violate the industry regulations.
4. Check the setting of “bank parameters” of the counter system after the three parties deposit. At the beginning of the year, due to the fact that some customers reported that large amounts of funds could not be transferred to the company normally, our department found out that the improper setting of the “bank parameters” of the three-party depository system was not caused by the banking system. It is recommended that the relevant departments modify the bank parameters and propose to remove inappropriate restrictions on customer access and reduce potential disputes.
First, the special work leaving the audit. He has completed the auditing of Xie Ping, general manager of the shooting and flooding business department, Huang Jingwei, general manager of Nanchong business department, Tang Hai, general manager of Wuhou business department, Wang Zhi, general manager of the business department, and Zhu Gang, general manager of Wutongqiao business department, and other five comrades. . In accordance with the relevant provisions of the “Regulations on the Qualifications of Directors, Supervisors and Senior Management of Securities Companies”, the “Human Resources Management System” and the “Company Auditing Audit System” of the China Securities Regulatory Commission, the above-mentioned outgoing general managers adopt on-site auditing methods. He left the audit-related program and conducted all procedures such as democratic appraisal, communication and exchange of audit opinions, and writing of retired audit reports within the sales department. The retired audit report of the above-mentioned comrades was submitted to the Sichuan Securities Regulatory Bureau of the China Securities Regulatory Commission.
In addition, the audit of the departure of Comrade Wan Jun, the general manager of the company's headquarters depository center, is not only a category that must be audited under the supervision regulations, but only as an audit of the company's business audit of the department to increase the coverage of the audit audit. From the day-to-day management work during the period from January to July, from the independent depository model to the different regulatory requirements and requirements of the three-party depository, a more comprehensive audit was conducted and relevant working papers were prepared. The audit report is being refined.
Special audit of the broker. The relationship between brokerage relationship and brokerage has always been the focus of our work, because it is related to the integrity of the company's interests. Once there is a broker relationship between customers, there will be a flow of company benefits, so we are monthly or irregular. Check the broker relationship setting and broker relationship changes. At the beginning of this year, the company’s brokers were audited specifically, and the payment broker’s remuneration was reviewed since October.
Account specification special inspection. In the short period of one month, the inspection team of the brokerage business department will organize on-site inspections of the customer account specification work of each business department of the company, work overtime with the comrades of the sales department, and complete the time before the time specified by the regulatory department. The inspection work paper was inspected, the account specification self-examination report was issued to the regulatory department, and an application for completing the account specification work in advance was submitted to the local securities regulatory bureau.
Non-standard account specification review. The contents of the review include the rectification matters proposed by the Sichuan Securities Regulatory Bureau for verification and acceptance, the household analysis of the remaining unqualified accounts, the completeness of the remaining unqualified account books and files, the accuracy and compliance of the account information modification, business knowledge training, and investment. Relationship management, securities account business check and fund account business check; verify the integrity and correctness of account classification management, check and limit measures for remaining unqualified accounts, verification of small dormant accounts, qualified account verification, and registration company The key information of the account is compared with the situation and the data is consistent. Due to the wide coverage of the accounts examined by each sales department, the types of customers involved and the time constraints, all the staff of the department and the brokerage business department and the sales departments cooperated and cooperated to submit the “Chuan Cai Securities” to the Sichuan Securities Regulatory Bureau on time. Brokerage Co., Ltd. failed to verify the audit report of the unqualified account, successfully completed the account specification and early declaration and acceptance work, and won a valuable 3 points for the company to obtain classified supervision points.
First, business training and learning
1. In-house training and learning. Participate in the “Marketing Knowledge Training” organized by the Human Resources Department of the company; organize the employees of the department to study the “Two Regulations”; study and discuss the “Guidelines for the Dynamic Monitoring of Risk Control Indicators of Securities Companies” and the implementation rules for abnormal transaction monitoring issued by the Exchange.
2. Remote training. He has studied "Financial Derivatives", "Occupational Ethics of Employees", "China's Securities Market Legal System", "Regulations and Regulations for the Collection and Operation of Securities Investment Funds", "Regulations on Risk Management of Securities Companies" and "Regulations on the Supervision and Administration of Securities Companies" 》, “Financial Futures Products and System Design”, “Introduction to the Securities and Margin Trading System of Securities Companies”, and all of them have passed the test.
3. External training. In accordance with the training arrangements of the Human Resources Department of the company, I participated in the compliance management training of securities companies organized by Beijing Wanguo Court Education Technology Company this year, which benefited a lot.
Second, other work done
1. Organizing and coordinating the brokerage business department, depository management center and computer center, completing the data collection and decomposition of the supervision report of the sales department, and convening the relevant personnel of each business department to hold a conference call on how to report the supervision report of the sales department. Until the sales department completes the report review and submission work, it provides services and support for the sales department to report the regulatory statements on time.
2. According to the business department's customer information data business needs, while fully considering the risks and business development needs, it is recommended that the computer center develop customer information data management methods, and strengthen the company's system construction of customer information materials.
3. Accept and properly handle the complaints of employees' family members and customers.
4. Accept business consulting for several times.
5. Customer return visits to customers whose customer funds have changed abnormally.
6. Cooperate with the brokerage business department to complete self-examination of large-value transactions and suspicious transaction reports.
7. Complete the risk analysis report of the full-person marketing model.
1. Organize learning related systems for compliance management and draft relevant rules for department compliance management.
2. Organize and coordinate the company's internal control platform to upgrade and reorganize the management module to ensure effective implementation of internal control.
In short, this year's regulatory requirements have changed a lot, and there are many new laws and regulations. As the supervision has increased significantly, I feel that the burden on my shoulders is particularly heavy. Fortunately, with the cooperation of all our colleagues in the department and the various departments of the company, as well as the full support of the sales departments, the audit audits were successfully completed under the condition of heavy work tasks and tight deadlines. jobs. The company has never been criticized by the regulatory authorities. Corporate classification regulation also rose from “b” to “bbb”. Looking forward to the future, I will continue to work hard, continue to sum up experience and lessons, and strive to create a compliance management philosophy, to promote the company's development in the norm, and constantly regulate in development.
De: Integrity, respect for employees, unity of colleagues; as a member of the Democratic Party, always adhere to the leadership of the Communist Party, consciously accept the leadership of the Communist Party, and study in depth to commemorate the 60th anniversary of the "May 1 Slogan" issued by the Chinese Communist Party and the Third Plenary Session of the Eleventh Central Committee The spirit of the meeting. In politics, he constantly demands progress, and is dispatched by the party to participate in the training and training of democratic party cadres in the provincial and community colleges, which has further strengthened the leadership of the Communist Party.
Yes: During the year, I successfully passed the senior accountant review and obtained the qualification of senior accountant. I participated in the competency test for the compliance management personnel of securities companies, but unfortunately failed to pass the test.
Qin: Conscientiously abide by the company's labor discipline, never die for no reason, be late and leave early, and strictly implement the company's invitation and vacation system.
Achievements: This year, with the joint efforts of the employees of the department, the following work was successfully completed:
1. Review of the regular work contract agreement. In the current year, we reviewed more than 80 contracts of relevant departments and sales departments of the company headquarters, and proposed more than 10 amendments and suggestions. For example, it is recommended that the company does not implement the business premises of the business department. The post-earthquake housing maintenance plan of the new business department should be reported. The property owner agrees to implement it; the five-way business department rents the house to recommend reviewing the legal procedures of the lessor and the company headquarters to purchase property insurance for risk warnings and so on. Most of the recommendations were adopted.
Revision and improvement of the company's rules and regulations.
1. According to the account requirements of the account specifications, it is proposed to modify and improve the "Customer File Management Measures";
2. In order to further standardize the large-scale withdrawal behavior of customers and strengthen risk prevention and control, according to the compliance management requirements of the regulatory authorities, it is proposed to revise the “Customer Securities Transfer Bank Capital Caps Regulations”;
3. In order to improve the broker commission return operation process and ensure that the broker commission refund program is compliant and accurate, it is recommended that the brokerage business department revise some provisions of the company's “Interim Measures for the Administration of Account Managers in the Sales Department”;
4. Examined the “Administrative Measures for Banking Managers of Chuan Cai Securities”, suggesting that the marketing team should be formed by the sales department rather than the market development department;
1. It is recommended to implement the relevant rules for existing customers and settlement rules in accordance with the relevant provisions of Yinfa [] No. 129.
Report review and submission.
1. Comprehensive supervision report of the company headquarters. The basic information of the company's headquarters comprehensive supervision report will be reported on time and the statements of each department will be reviewed on time; printed and submitted to the Sichuan Regulatory Bureau of the China Securities Regulatory Commission on time.
2. Comprehensive supervision report of the sales department. Since July of this year, the department has been urged to report the comprehensive supervision report of the sales department on time, and to review the statements of each business department, and to point out the errors and supervision and revision in the report in a timely manner. At the same time, the sales department will be instructed to submit the report on time and the monthly report from January to June.
3. Self-discipline report. Submit the self-discipline report required by the China Securities Industry Association on time every month.
4. According to the relevant requirements of the “Administrative Measures for Risk Control Indicators of Securities Companies”, according to the adjustment of the departmental responsibilities of the company, the Ministry of Housing has undertaken real-time monitoring of the implementation of risk control indicators such as net capital from December, on the calculation of net capital, risk. The authenticity, accuracy and completeness of the capital preparation calculation table and the risk control indicator supervision report are subject to irregular audit and audit, and are responsible for submitting reports on the level of risk control indicators.
Audit audit.
1. Regularly review the “System Setting Audit → Cost Setting Check” through the company's internal control platform to ensure that there are no major errors in the company's total customer fee setting. In this inspection, only one customer's commission setting standard was lower than the customer's required level, and it was submitted to the relevant department for modification, and no loss was caused to the sales department.
2. In response to the government's policy of lowering stamp duty and reducing interest tax in October, the printing tax collection standard and interest tax withholding ratio were promptly checked. Ensure that corporate tax practices are consistent with tax policies.
3. In December, due to the change in the bank's current interest rate, the counter system interest rate setting standard was promptly checked. At the same time, it is agreed with the relevant departments of the company to modify the company's existing interest-bearing and settlement rules to ensure that the company's behavior does not violate the industry regulations.
4. Check the setting of “bank parameters” of the counter system after the three parties deposit. At the beginning of the year, due to the fact that some customers reported that large amounts of funds could not be transferred to the company normally, our department found out that the improper setting of the “bank parameters” of the three-party depository system was not caused by the banking system. It is recommended that the relevant departments modify the bank parameters and propose to remove inappropriate restrictions on customer access and reduce potential disputes.
First, the special work leaving the audit. He has completed the auditing of Xie Ping, general manager of the shooting and flooding business department, Huang Jingwei, general manager of Nanchong business department, Tang Hai, general manager of Wuhou business department, Wang Zhi, general manager of the business department, and Zhu Gang, general manager of Wutongqiao business department, and other five comrades. . In accordance with the relevant provisions of the “Regulations on the Qualifications of Directors, Supervisors and Senior Management of Securities Companies”, the “Human Resources Management System” and the “Company Auditing Audit System” of the China Securities Regulatory Commission, the above-mentioned outgoing general managers adopt on-site auditing methods. He left the audit-related program and conducted all procedures such as democratic appraisal, communication and exchange of audit opinions, and writing of retired audit reports within the sales department. The retired audit report of the above-mentioned comrades was submitted to the Sichuan Securities Regulatory Bureau of the China Securities Regulatory Commission.
In addition, the audit of the departure of Comrade Wan Jun, the general manager of the company's headquarters depository center, is not only a category that must be audited under the supervision regulations, but only as an audit of the company's business audit of the department to increase the coverage of the audit audit. From the day-to-day management work during the period from January to July, from the independent depository model to the different regulatory requirements and requirements of the three-party depository, a more comprehensive audit was conducted and relevant working papers were prepared. The audit report is being refined.
Special audit of the broker. The relationship between brokerage relationship and brokerage has always been the focus of our work, because it is related to the integrity of the company's interests. Once there is a broker relationship between customers, there will be a flow of company benefits, so we are monthly or irregular. Check the broker relationship setting and broker relationship changes. At the beginning of this year, the company’s brokers were audited specifically, and the payment broker’s remuneration was reviewed since October.
Account specification special inspection. In the short period of one month, the inspection team of the brokerage business department will organize on-site inspections of the customer account specification work of each business department of the company, work overtime with the comrades of the sales department, and complete the time before the time specified by the regulatory department. The inspection work paper was inspected, the account specification self-examination report was issued to the regulatory department, and an application for completing the account specification work in advance was submitted to the local securities regulatory bureau.
Non-standard account specification review. The contents of the review include the rectification matters proposed by the Sichuan Securities Regulatory Bureau for verification and acceptance, the household analysis of the remaining unqualified accounts, the completeness of the remaining unqualified account books and files, the accuracy and compliance of the account information modification, business knowledge training, and investment. Relationship management, securities account business check and fund account business check; verify the integrity and correctness of account classification management, check and limit measures for remaining unqualified accounts, verification of small dormant accounts, qualified account verification, and registration company The key information of the account is compared with the situation and the data is consistent. Due to the wide coverage of the accounts examined by each sales department, the types of customers involved and the time constraints, all the staff of the department and the brokerage business department and the sales departments cooperated and cooperated to submit the “Chuan Cai Securities” to the Sichuan Securities Regulatory Bureau on time. Brokerage Co., Ltd. failed to verify the audit report of the unqualified account, successfully completed the account specification and early declaration and acceptance work, and won a valuable 3 points for the company to obtain classified supervision points.
First, business training and learning
1. In-house training and learning. Participate in the “Marketing Knowledge Training” organized by the Human Resources Department of the company; organize the employees of the department to study the “Two Regulations”; study and discuss the “Guidelines for the Dynamic Monitoring of Risk Control Indicators of Securities Companies” and the implementation rules for abnormal transaction monitoring issued by the Exchange.
2. Remote training. He has studied "Financial Derivatives", "Occupational Ethics of Employees", "China's Securities Market Legal System", "Regulations and Regulations for the Collection and Operation of Securities Investment Funds", "Regulations on Risk Management of Securities Companies" and "Regulations on the Supervision and Administration of Securities Companies" 》, “Financial Futures Products and System Design”, “Introduction to the Securities and Margin Trading System of Securities Companies”, and all of them have passed the test.
3. External training. In accordance with the training arrangements of the Human Resources Department of the company, I participated in the compliance management training of securities companies organized by Beijing Wanguo Court Education Technology Company this year, which benefited a lot.
Second, other work done
1. Organizing and coordinating the brokerage business department, depository management center and computer center, completing the data collection and decomposition of the supervision report of the sales department, and convening the relevant personnel of each business department to hold a conference call on how to report the supervision report of the sales department. Until the sales department completes the report review and submission work, it provides services and support for the sales department to report the regulatory statements on time.
2. According to the business department's customer information data business needs, while fully considering the risks and business development needs, it is recommended that the computer center develop customer information data management methods, and strengthen the company's system construction of customer information materials.
3. Accept and properly handle the complaints of employees' family members and customers.
4. Accept business consulting for several times.
5. Customer return visits to customers whose customer funds have changed abnormally.
6. Cooperate with the brokerage business department to complete self-examination of large-value transactions and suspicious transaction reports.
7. Complete the risk analysis report of the full-person marketing model.
1. Organize learning related systems for compliance management and draft relevant rules for department compliance management.
2. Organize and coordinate the company's internal control platform to upgrade and reorganize the management module to ensure effective implementation of internal control.
In short, this year's regulatory requirements have changed a lot, and there are many new laws and regulations. As the supervision has increased significantly, I feel that the burden on my shoulders is particularly heavy. Fortunately, with the cooperation of all our colleagues in the department and the various departments of the company, as well as the full support of the sales departments, the audit audits were successfully completed under the condition of heavy work tasks and tight deadlines. jobs. The company has never been criticized by the regulatory authorities. Corporate classification regulation also rose from “b” to “bbb”. Looking forward to the future, I will continue to work hard, continue to sum up experience and lessons, and strive to create a compliance management philosophy, to promote the company's development in the norm, and constantly regulate in development.
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