Analysis of Problems and Suggestions of “Counterfeit Seal”: A Case Study of “Sealand Securities”

Yazheng Xu ()
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Yazheng Xu: Guangdong University of Foreign Studies South China Business College, Faculty of Management

A chapter in Proceedings of the 2025 International Conference on Financial Innovation and Marketing Management (FIMM 2025), 2025, pp 51-57 from Springer

Abstract: Abstract The current market environment is complex and full of uncertainties. The counterfeit seal incident of Sealand Securities has exposed serious problems in its business structure, risk assessment, and internal supervision. This paper mainly studies and analyzes the problems of Sealand Securities, such as unreasonable business structure, unreasonable risk assessment, and internal supervision loopholes, and puts forward relevant suggestions. By means of business diversification, risk stratification management, and digital supervision, the company’s compliance and risk-resistant ability can be improved, and similar incidents can be avoided. This study builds a comprehensive governance framework that includes the ‘triple line of defense’ mechanism and digital regulatory tools and provides operational solutions for securities companies to improve their internal control systems. Its value lies in revealing the risk transmission mechanism in aggressive expansion, innovatively applying smart seal and AI monitoring technology to financial supervision and providing reference for the industry to establish a synergistic system of ‘business, risk control, and supervision.’

Keywords: Internal Control; Business Structure; Risk Assessment; Internal Regulation (search for similar items in EconPapers)
Date: 2025
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Persistent link: https://EconPapers.repec.org/RePEc:spr:advbcp:978-94-6463-874-5_8

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DOI: 10.2991/978-94-6463-874-5_8

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