2. Internal control of proprietary business: strengthen the management of investment decision-making, funds, accounts, clearing, trading and confidentiality, and prevent risks such as scale out of control, decision-making mistakes, ultra vires, disguised proprietary trading, off-balance sheet proprietary trading, market manipulation and insider trading. Establish and improve self-supporting decision-making institutions and procedures, and strengthen the decision-making management of self-supporting business on investment strategy, scale, variety, structure and duration through reasonable early warning mechanism and time limit.
3. Internal control of investment banking: focus on preventing legal risks, financial risks and moral risks caused by poor management, unclear rights and responsibilities, and insufficient diligence; Establish a project management system, improve the business process, operational norms and risk control measures of the project; Strengthen the core work and quality control of the project, strengthen the decision-making management of key links such as pricing and placement in securities issuance, and eliminate false underwriting.
4. Internal control of asset management business: to prevent the risks caused by out-of-control scale, decision-making mistakes, ultra vires operation, off-balance sheet operation, misappropriation of customer assets and other behaviors that harm customers' interests and capital preservation; Unified management of entrusted investment management business, entrusted investment management business should be strictly separated from self-operated business, independent decision-making, independent operation, standardize business processes, operational norms and control measures, formulate a clear and detailed information disclosure system, and ensure the client's right to know; Reasonably control the scale of entrusted investment management business.
5. Internal control source of research consulting business: beauty editor of the big exam.
6. Internal control of business innovation
7. Internal control of branches
8. Internal control of financial management: establish and improve the financial management system and capital plan control system, clarify the responsibility for budget preparation and implementation, establish the corresponding performance evaluation standard and evaluation system for capital management, formulate and strictly implement the expense management method, strengthen the expense budget control, clarify the expense standard, strictly manage the examination and approval procedures for imprest loans and expense reimbursement, strengthen the monitoring of capital risks, and strictly control liquidity risks, especially to prevent the risks brought by the business department's illegal entrusted financing, securities repurchase and financing on behalf of customers.
9. Internal control of accounting system
10, internal control of information system
1 1. Internal control of human resource management