本文選題：證券公司 + 風險應對�。� 參考：《廣西大學》2014年碩士論文

【摘要】：風險無處不在,也無所不在,由于忽略風險或沒有嚴格管理風險而導致的重大損失也時有發(fā)生。在經濟全球化的背景下,我國各行各業(yè)的企業(yè)都在努力改善自身的經營管理以提高自身的國際競爭力,同時逐步建立完善的風險管理制度,增強抗風險的能力,以便降低風險事故所帶來的損失,從而提高企業(yè)的應對危機能力和生存能力。對于證券公司來說,風險更是如影隨形。我國證券公司的發(fā)展起步晚,在風險管理方面的理論研究以及實踐經驗不足,通過借鑒國外的先進管理經驗和風險管理理念,近年來我國證券公司迅速發(fā)展的同時,各監(jiān)管部門以及證券公司本身也在積極地探索并不斷地完善風險管理規(guī)章制度和控制體系。從《證券法》的頒布與實施,到中國證監(jiān)會制定《證券公司內部控制指引》,中國證券監(jiān)督管理委員會審議通過的《證券公司風險控制指標管理辦法》,再到2014年3月1日起施行的《證券公司全面風險管理規(guī)范》,無不體現了監(jiān)管機構對證券公司內部風險管理的逐步完善和規(guī)范約束。 本文以國內外學者對金融及證券行業(yè)風險管理方面的研究綜述,以及證券監(jiān)管機構制定的條例規(guī)范為依據,對證券公司的風險進行識別分析,再根據證券公司的各業(yè)務特點進行風險應對的理論闡述。本文以光大證券公司作為研究對象,對其目前的經營狀況及公司組織架構和業(yè)務開展情況作了介紹,并重點對816烏龍指事件進行梳理,而后結合前文的風險管理和內部控制方面的理論,對光大證券公司的烏龍指事件所暴露出來的風險管理方面的缺陷進行詳細分析,從而得出優(yōu)化光大證券公司風險管理體系的基本原則,以及進一步加強風險管理文化建設,完善風險管理組織架構,并完善風險預警系統(tǒng)和加強信息系統(tǒng)風險管理等一系列建設性意見。
[Abstract]:Risk is ubiquitous and ubiquitous, and significant losses due to neglect or lack of strict risk management occur from time to time.Under the background of economic globalization, enterprises in various industries of our country are trying to improve their own management to improve their international competitiveness, at the same time, gradually establish a sound risk management system, enhance the ability to resist risks.In order to reduce the loss caused by risk accidents, and improve the ability of enterprises to cope with crisis and survival.For the securities companies, the risk is even more like a shadow.The development of securities companies in our country started late, the theoretical research and practical experience in risk management are not enough. By learning from the advanced management experience and risk management concept of foreign countries, the securities companies of our country have developed rapidly in recent years.The regulatory departments and the securities companies themselves are actively exploring and perfecting the risk management regulations and control systems.From the promulgation and implementation of the Securities Law,To the CSRC to formulate the "guidelines on Internal Control of Securities companies", the measures for the Management of risk Control indicators of Securities companies examined and approved by the China Securities Regulatory Commission, and the "Securities companies all" to come into effect on March 1, 2014The regulation of risk management reflects the gradual improvement and regulation of the internal risk management of securities companies.In this paper, the risk of securities companies is identified and analyzed based on the review of domestic and foreign scholars' research on risk management in finance and securities industry, as well as the regulations and norms formulated by securities regulatory bodies.Then according to the business characteristics of securities companies to deal with the risks of theoretical elaboration.This paper takes Everbright Securities Company as the research object, introduces its current management situation, organization structure and business development of the company, and focuses on combing the 816 Oolong finger incident.Then combined with the previous theories of risk management and internal control, the defects in risk management exposed by the Oolong finger incident of Everbright Securities Company were analyzed in detail.Thus, the basic principles of optimizing the risk management system of Everbright Securities Company are obtained, and the construction of risk management culture is further strengthened, and the organizational structure of risk management is improved.And perfect risk early warning system and strengthen information system risk management and a series of constructive suggestions.
【學位授予單位】：廣西大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：F832.39

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