Proceedings of the 2025 International Conference on Financial Innovation and Marketing Management (FIMM 2025)

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

Authors
Yazheng Xu1, *
1Faculty of Management, Guangdong University of Foreign Studies South China Business College, Guangzhou, China
*Corresponding author. Email: 2240437105@e.gwng.edu.cn
Corresponding Author
Yazheng Xu
Available Online 3 November 2025.
DOI
10.2991/978-94-6463-874-5_8How to use a DOI?
Keywords
Internal Control; Business Structure; Risk Assessment; Internal Regulation
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.’

Copyright
© 2025 The Author(s)
Open Access
Open Access This chapter is licensed under the terms of the Creative Commons Attribution-NonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.

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Volume Title
Proceedings of the 2025 International Conference on Financial Innovation and Marketing Management (FIMM 2025)
Series
Advances in Economics, Business and Management Research
Publication Date
3 November 2025
ISBN
978-94-6463-874-5
ISSN
2352-5428
DOI
10.2991/978-94-6463-874-5_8How to use a DOI?
Copyright
© 2025 The Author(s)
Open Access
Open Access This chapter is licensed under the terms of the Creative Commons Attribution-NonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.

Cite this article

risenwbib
TY  - CONF
AU  - Yazheng Xu
PY  - 2025
DA  - 2025/11/03
TI  - Analysis of Problems and Suggestions of “Counterfeit Seal”: A Case Study of “Sealand Securities”
BT  - Proceedings of the 2025 International Conference on Financial Innovation and Marketing Management (FIMM 2025)
PB  - Atlantis Press
SP  - 51
EP  - 57
SN  - 2352-5428
UR  - https://doi.org/10.2991/978-94-6463-874-5_8
DO  - 10.2991/978-94-6463-874-5_8
ID  - Xu2025
ER  -