What kinds of departments are securities companies divided into?

Headquarters: investment banking department, sponsor institution, auxiliary issuing underwriter; Self-operated business departments and financial personnel; Audit department, compliance auditor; Brokerage business department, including all kinds of peers from headquarters to business department; Fixed income department; Asset management department; Office, sales agency, secretariat, etc. ; Sales department: front desk, marketing personnel, including marketing manager, team leader and marketing personnel.

Middle desk, customer service department, including account manager, consulting manager and investment consultant; Backstage, counter teller, computer department-computer manager, computer assistant, finance-finance manager, cashier, office.

A securities company refers to a limited liability company or a joint stock limited company with independent legal personality, which is established with the approval of the the State Council securities regulatory authority in accordance with the provisions of the Company Law and the Securities Law and specializes in securities business.

brief introduction

Securities companies are legal entities specializing in securities trading, which are divided into securities management companies and securities registration companies. In a narrow sense, a securities company refers to a securities business company, which is an institution that specializes in securities business after being approved by the competent authority and obtaining a business license from the relevant administrative department for industry and commerce. Having the membership of a stock exchange, you can underwrite the issuance, self-management or agent trading of securities. Ordinary investors must invest in securities through securities companies.

In different countries, securities companies have different names. In the United States, securities companies are called investment banks or broker-dealers. ; In Britain, securities companies are called commercial banks); ; In continental Europe (represented by Germany), because of the mixed operation system, investment banks are only a part of universal banks. In East Asia (represented by Japan), it is called a securities company.

management control

1. Asset management

A securities company shall not provide financing or guarantee for shareholders and their affiliates.

2. Personnel management

Senior managers of securities companies shall meet the statutory qualifications.

3. Pay the securities investor protection fund and withdraw the trading risk reserve.

4. Establish and improve the internal control and business isolation system.

Securities companies must engage in securities brokerage business, securities underwriting business, securities self-operated business and securities asset management business respectively, and shall not mix operations.