【摘要】：由于新三板掛牌企業(yè)的范圍逐步擴(kuò)大到全國,引起了中小企業(yè)積極響應(yīng)的熱潮,券商和風(fēng)險(xiǎn)投資機(jī)構(gòu)也希望能在當(dāng)前的形勢(shì)市場下大干一場。而從中小企業(yè)的融資方式來說,新三板掛牌是一種挑戰(zhàn)也是一次機(jī)遇。首先闡述了研究的背景,主要內(nèi)容,研究方法,研究意義等方面的內(nèi)容。介紹了新三板的含義,特點(diǎn),掛牌條件等,以及風(fēng)險(xiǎn)控制含義及風(fēng)險(xiǎn)控制的主要內(nèi)容,關(guān)系,基本特征等。介紹了云南XX建筑施工公司新三板掛牌過程中的風(fēng)險(xiǎn)管理現(xiàn)狀,分析了面臨的主要風(fēng)險(xiǎn),包括：信用風(fēng)險(xiǎn)、操作風(fēng)險(xiǎn)、流動(dòng)性風(fēng)險(xiǎn)和掛牌失敗風(fēng)險(xiǎn)；以及風(fēng)險(xiǎn)的成因,主要是新三板掛牌市場功能定位不準(zhǔn)、監(jiān)管理念搖擺不定、公司治理結(jié)構(gòu)不完善、風(fēng)險(xiǎn)管理體系不完善以及“三會(huì)”制度未充分發(fā)揮職能,緊接著對(duì)風(fēng)險(xiǎn)進(jìn)行模型的評(píng)價(jià)。最后針對(duì)企業(yè)在掛牌過程中風(fēng)險(xiǎn)管理的現(xiàn)狀、面臨的掛牌風(fēng)險(xiǎn)及其成因,在掛牌風(fēng)險(xiǎn)評(píng)價(jià)的基礎(chǔ)上,提出了云南XX建筑施工公司新三板掛牌中的風(fēng)險(xiǎn)控制的措施,包括加強(qiáng)橫向合作做好新三板掛牌信用風(fēng)險(xiǎn)控制、重視操作風(fēng)險(xiǎn)與流動(dòng)性風(fēng)險(xiǎn)控制、堅(jiān)定秉持監(jiān)管理念、充分發(fā)揮“三會(huì)”制度的業(yè)務(wù)監(jiān)管職能以及準(zhǔn)確定位新三板掛牌市場功能、優(yōu)化新三板掛牌設(shè)計(jì)這幾個(gè)措施。
[Abstract]:As the scope of the new third board listed enterprises gradually expanded to the whole country, which caused the SMEs to respond positively to the upsurge, securities companies and venture capital institutions also hope to be able to do a big part in the current market. And from the financing mode of small and medium-sized enterprises, the new third board listing is a challenge and an opportunity. Firstly, the background, main contents, research methods and significance of the research are described. This paper introduces the meaning, characteristics, listing conditions of the new third board, as well as the meaning of risk control and the main contents, relations and basic characteristics of risk control. This paper introduces the current situation of risk management in the process of listing the new third board of Yunnan XX Construction Company, and analyzes the main risks, including: credit risk, operational risk, liquidity risk and listing failure risk; As well as the causes of risk, the main causes are that the market function of the new three boards is not correct, the concept of supervision is uncertain, the corporate governance structure is not perfect, the risk management system is not perfect, and the "three sessions" system has not fully played its functions. Then the risk model is evaluated. Finally, aiming at the present situation of risk management in the process of listing, the listed risks and their causes, the risk control measures in the new third board listing of Yunnan XX Construction Company are put forward on the basis of the listed risk evaluation. Including strengthening horizontal cooperation to do a good job of credit risk control on the new three boards, attaching importance to operational risk and liquidity risk control, and firmly adhering to the concept of supervision. Give full play to the "three sessions" system of the business supervision function and accurate positioning of the new three boards listing market function, optimize the new three boards listing design measures.
【學(xué)位授予單位】：云南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：F426.92;F272.3

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