本文關(guān)鍵詞： 期貨公司 風(fēng)險(xiǎn)分析 風(fēng)險(xiǎn)控制　出處：《西北大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

【摘要】：期貨市場是一個(gè)高風(fēng)險(xiǎn)的市場,期貨公司作為市場中介在運(yùn)營的過程中會(huì)面臨著巨大的風(fēng)險(xiǎn)。隨著國內(nèi)期貨市場的不斷發(fā)展和完善,各期貨公司的風(fēng)險(xiǎn)控制意識(shí)和能力都有所提高,但仍然不能滿足新形勢下期貨行業(yè)快速發(fā)展的客觀要求,現(xiàn)有的風(fēng)險(xiǎn)控制體系還存在許多需要改進(jìn)的地方。本文研究的是MK期貨經(jīng)紀(jì)有限公司現(xiàn)有的風(fēng)險(xiǎn)控制體系。 論文首先介紹了我國期貨行業(yè)的發(fā)展?fàn)顩r,說明了期貨公司在當(dāng)前市場環(huán)境下加強(qiáng)風(fēng)險(xiǎn)控制的重要性。同時(shí),對(duì)比國外期貨公司的風(fēng)險(xiǎn)控制情況,給國內(nèi)期貨公司風(fēng)險(xiǎn)控制流程設(shè)計(jì)進(jìn)行參考。其次,論文根據(jù)風(fēng)險(xiǎn)控制流程的相關(guān)理論,對(duì)MK期貨經(jīng)紀(jì)有限公司目前的業(yè)務(wù)流程進(jìn)行了梳理,找到了其中各個(gè)環(huán)節(jié)主要的風(fēng)險(xiǎn)點(diǎn),并分析了當(dāng)前風(fēng)險(xiǎn)控制過程當(dāng)中存在的缺陷和問題,在此基礎(chǔ)上,根據(jù)風(fēng)險(xiǎn)控制理論,運(yùn)用比較分析法和定性與定量分析相結(jié)合的方法,從公司治理、組織結(jié)構(gòu)、主要業(yè)務(wù)流程和制度建設(shè)等方面對(duì)MK期貨公司現(xiàn)有的風(fēng)險(xiǎn)控制流程進(jìn)行了優(yōu)化,針對(duì)當(dāng)前業(yè)務(wù)環(huán)節(jié)當(dāng)中的主要風(fēng)險(xiǎn)點(diǎn)有針對(duì)性地設(shè)計(jì)了風(fēng)險(xiǎn)控制方案及措施,進(jìn)一步完善了公司的風(fēng)險(xiǎn)控制體系。 本文利用風(fēng)險(xiǎn)控制相關(guān)理論,聯(lián)系期貨公司經(jīng)營管理的現(xiàn)狀,通過對(duì)其業(yè)務(wù)流程的梳理和分析,得出一些結(jié)論,對(duì)其他期貨公司風(fēng)險(xiǎn)控制流程的進(jìn)一步完善也能起到一些借鑒的作用。
[Abstract]:Futures market is a high-risk market, futures companies as a market intermediary in the operation of the process will face a huge risk. With the continuous development and improvement of the domestic futures market, The risk control consciousness and ability of the futures companies have been improved, but they still can not meet the objective requirements of the rapid development of the futures industry under the new situation. The existing risk control system still needs to be improved. This paper studies the existing risk control system of MK Futures Brokerage Co., Ltd. The paper first introduces the development of futures industry in China, and explains the importance of strengthening risk control in the current market environment. At the same time, compared with the risk control situation of foreign futures companies, Secondly, according to the relevant theory of risk control process, the paper combs the current business process of MK Futures Brokerage Co., Ltd. The main risk points of each link are found, and the defects and problems in the current risk control process are analyzed. On this basis, according to the risk control theory, the method of comparative analysis and qualitative and quantitative analysis is used. From the aspects of corporate governance, organizational structure, main business process and system construction, this paper optimizes the existing risk control process of MK Futures Company. Aiming at the main risk points in the current business links, the paper designs the risk control scheme and measures, and further improves the risk control system of the company. Based on the theory of risk control and the current situation of futures company's operation and management, this paper draws some conclusions by combing and analyzing its business process. Other futures companies to further improve the risk control process can also play some reference role.
【學(xué)位授予單位】：西北大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.39

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本文編號(hào)：1518898