MBA教育中心知识库

With the China Securities Regulatory Commission(CSRC) officially joining IOSCO, IOSCO specifically refers to the anti-money laundering requirements of securities regulators for financial institutions.In 2022, the People's Bank of China Anti-Money Laundering Bureau issued a three-year action plan for 2022-2024 which People's Bank of China and the other 11 departments including Ministry of Public Security will jointly carry out to combat and control money laundering crimes, which makes the regulators' anti-money laundering requirements for financial institutions significantly higher, and strengthening the anti-money laundering management system in the securities industry is an important guarantee for effectively constructing and enhancing national money laundering risk prevention and control system.

With the development of the anti-money laundering situation, the anti-money laundering regulatory concept based on risk prevention has gradually become a consensus in the field of anti-money laundering. This paper takes Netcom Securities Co., Ltd. as the research object, analyzes the anti-money laundering management system inside of the company, studies the internal control system of its anti-money laundering management, clarifies the current status of its anti-money laundering management and identifies the problems related to the anti-money laundering management system of the company. Based on the analysis of the causes and the basic theories related to anti-money laundering, suggestions, countermeasures of improvement as well as safeguard measures were proposed. It is suggested that Netcom Securities Co., Ltd. should take timely measures to improve the level of anti-money laundering risk prevention and control management. While actively preventing anti-money laundering system risks, it is suggested to prevent the occurrence of incremental risks, prevent and resolve system risks in its anti-money laundering management system, further strengthen anti-money laundering work, and embark on the right track of development path as soon as possible so as to explore the suitable path and method for the current anti-money laundering management strategy of the securities industry.