1. Compliance risk refers to the behavior of securities companies that violate laws, administrative regulations, regulatory rules and normative documents, industry norms and self-discipline rules in their self-operated business.
2. Market risk refers to unpredictable and controllable factors that lead to market fluctuations and cause self-operated losses.
3, operational risk, securities companies due to investment decision-making mistakes, scale out of control, poor management, lax internal control, so that the self-operated business suffered losses.