Construction and Application of Internal Control Compliance Risk Monitoring System for Power Trading Institutions

Power trading institutions need to make a comprehensive analysis of the compliance risks they may face in their business operations and personnel management. This paper studies the monitoring of internal control compliance risks for power trading institutions from three aspects: system construction, key technologies, and function construction. First, the internal control compliance risk monitoring system of power trading institutions is proposed; then, the operation mechanism and key technologies of each link of the system are explained from four aspects; finally, the overall framework of the monitoring system is proposed. The research and development of the software based on the above achievements have been deployed and operated. It has been verified by practice that the system proposed in this paper can effectively support the flexible monitoring of internal control compliance risks for power trading institutions.