Directly under the responsibility of the board of directors, with the risk management concept of "controlling risks and creating value", risk management ability has become one of the core competitiveness of Guolian Securities. By revising and improving the internal control system and risk control system, we can effectively manage risks through regular inspections by various departments, technical monitoring and comparison of various businesses, and establishing risk early warning mechanisms. Through a series of reasonable arrangements and implementation of decision-making, management and business policies and procedures, the continuity and effectiveness of business management activities are ensured.
Audit department
Under the direct leadership of the president's office, the audit department is independent of all business departments of the company. According to the national financial securities laws and regulations and the relevant provisions of the company, combined with the actual situation of the company, establish and improve the internal audit system and implementation methods, audit and consult the business and financial data of the company and its branches, supervise the legality and compliance of its business, judge the safety and liquidity of its assets, and evaluate the authenticity and effectiveness of its economic benefits.
Independent depository department
The Independent Depository Department is the business support and control department in Chinese mainland and Taiwan Province established by the company to ensure the safety and integrity of customers' funds. We will fully implement the Measures for the Administration of Customer Transaction Settlement Funds, the Trial Standards for Independent Deposit and Management of Customer Funds of Securities Companies and other relevant regulations promulgated by the CSRC, establish an independent deposit and management mechanism for corporate customer funds, conduct independent deposit and management of customer funds with a serious and responsible attitude, implement closed management and strengthen centralized management of customer funds.