What should be included in the control system of investment business?

In order to standardize the company's securities investment business behavior, ensure the normal development of securities investment business, effectively prevent and avoid securities investment risks, and achieve good economic benefits, these Measures are formulated in accordance with the requirements of relevant national laws and regulations, the company's articles of association, and the risk management outline. The term "securities investment business" as mentioned in these Measures refers to the company's investment in stocks, funds, bonds, warrants and other financial products listed on the stock exchange with its own funds or incorporated funds under the premise of measurable, controllable and affordable risks, in order to maximize the income. Its contents are as follows:

I. Organizational system and division of functions of securities investment business?

Two. Risk types and control of securities investment business

1, investment decision risk;

2. Implementation risk.

3. Professional moral hazard;

4. Financial liquidation risk;

5. System guarantee risk;

Three, the securities investment business reward and punishment system

1. Establish a personal risk reserve system. The investment decision-making group, the staff of the securities investment department and the financial liquidators of the planning and finance department have to pay different amounts of securities investment risk reserves every year to partially bear the losses caused by personal mistakes. The amount of personal risk reserve is determined by the risk management decision-making Committee;

2. Establish a performance evaluation system. Generally speaking, it should be linked to the Shanghai Stock Exchange Index, the average profit level index of the fund industry and the actual contribution of individuals.

3. Strict reward and punishment system. For securities investment personnel who create profits for the company, bonuses shall be drawn according to the resolution of the board of directors, and those who have rendered meritorious service shall be promoted and rewarded with honors; Where losses are caused to the company and the performance is lower than the average level of the fund, the bonus will be deducted and part of it will be compensated by personal risk reserve.