AbstractSince2007,thesubprimemortgagecrisis(SMC),whichgraduallyevolvesintoafinancialcrisissweepingtheglobe,,however,pliance,,pliancemanagementinsecuritiesindustryofPRCisstillattheinitialstage,,,,pliancemanagement,etc.,,pliancerisks,pliancemanagementinthesecuritiesindustrybothathomeandabroad,panies,pliancemanagementmechanism,:Firstly,pliancerisks,thispaperanalysesdeep-seatedreasonsforbankruptcyofLehmanBrothers,,,,anattitudeof“1want”insteadof“beingforced’’panies,,paniesshouldestablishathree-pliancesystem,whichinvolves“governance”,.trisk"pliance",pliancemanagement,panygovernanceandinternalcontrol,,,pliancemanagement,;plianceperformanceappraisalsystem,pliancereportingsystem;pliancereviewsystemandinformation-;pliancemonitoringthroughusingtheadvancedtechnologicalmeanstobuildsystemsplatform,pliancefunction,:,美国等西方国家金融服务业充斥着越
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