本文選題：XX證券公司 + 財(cái)務(wù)風(fēng)險(xiǎn)��； 參考：《山東大學(xué)》2013年碩士論文

【摘要】：隨著我國(guó)證券市場(chǎng)的發(fā)展,我國(guó)證券公司也得到了迅速的發(fā)展,但由于受到各方面的影響和制約,證券公司在經(jīng)營(yíng)和管理上難免存在一些問(wèn)題,這些問(wèn)題決定了現(xiàn)階段我國(guó)證券公司的高風(fēng)險(xiǎn)特性。證券公司作為金融業(yè)的高端產(chǎn)業(yè),同時(shí)面臨著政策風(fēng)險(xiǎn)、行業(yè)競(jìng)爭(zhēng)風(fēng)險(xiǎn)及經(jīng)營(yíng)風(fēng)險(xiǎn)等諸多風(fēng)險(xiǎn),而各類風(fēng)險(xiǎn)最終基本上都會(huì)轉(zhuǎn)化到財(cái)務(wù)風(fēng)險(xiǎn)中,給證券公司的財(cái)務(wù)管理帶來(lái)很大的困擾,如何應(yīng)對(duì)市場(chǎng)行情變化、加強(qiáng)自身財(cái)務(wù)風(fēng)險(xiǎn)管理體系建設(shè)已成為證券公司不得不深層次思考的問(wèn)題。 本文以XX證券公司為研究對(duì)象,通過(guò)分析證券公司財(cái)務(wù)風(fēng)險(xiǎn)的基本特征和主要來(lái)源,對(duì)XX證券公司目前面臨的主要財(cái)務(wù)風(fēng)險(xiǎn)點(diǎn)、財(cái)務(wù)風(fēng)險(xiǎn)管理制度的現(xiàn)狀和財(cái)務(wù)風(fēng)險(xiǎn)的成因進(jìn)行剖析,并以解決這些問(wèn)題為出發(fā)點(diǎn),結(jié)合國(guó)內(nèi)外先進(jìn)的財(cái)務(wù)風(fēng)險(xiǎn)管理理論和成熟的財(cái)務(wù)風(fēng)險(xiǎn)管理經(jīng)驗(yàn),為完善XX證券公司及存在相同問(wèn)題的其他企業(yè)在財(cái)務(wù)風(fēng)險(xiǎn)管理體系建設(shè)方面提供一些針對(duì)性的建議,預(yù)防財(cái)務(wù)危機(jī)的發(fā)生。 本文的創(chuàng)新之處在于,根據(jù)XX證券公司財(cái)務(wù)風(fēng)險(xiǎn)成因的特殊性,為在完善XX證券公司財(cái)務(wù)風(fēng)險(xiǎn)管理建設(shè)方面,給出了自己的一些見(jiàn)解。 在研究方法上,本文采用規(guī)范研究和實(shí)例研究相結(jié)合的研究方法,從財(cái)務(wù)風(fēng)險(xiǎn)的概念與特征描述發(fā)出,介紹了目前我國(guó)證券公司普遍存在的財(cái)務(wù)風(fēng)險(xiǎn)來(lái)源。以XX證券公司為案例研究對(duì)象,通過(guò)對(duì)其主要財(cái)務(wù)風(fēng)險(xiǎn)點(diǎn)、財(cái)務(wù)風(fēng)險(xiǎn)管理現(xiàn)狀及成因的分析,指出存在的問(wèn)題和改進(jìn)的方向,提出完善XX證券公司財(cái)務(wù)風(fēng)險(xiǎn)管理的具體建議。文中特選擇了具有行業(yè)內(nèi)代表性三家證券公司,對(duì)其2011年度相關(guān)重要財(cái)務(wù)指標(biāo)進(jìn)行了橫向?qū)Ρ确治�。�?duì)于XX證券公司的各項(xiàng)財(cái)務(wù)風(fēng)險(xiǎn)指標(biāo),文中獲取了大量該公司具體數(shù)據(jù)進(jìn)行詳細(xì)的分析。 本文由導(dǎo)論和四章正文組成導(dǎo)論部分。介紹本文的研究背景、意義、文獻(xiàn)綜述及研究思路和框架。第二章證券公司財(cái)務(wù)風(fēng)險(xiǎn)概述,重點(diǎn)介紹證券公司財(cái)務(wù)風(fēng)險(xiǎn)的特征與主要來(lái)源分析。第三章通過(guò)主要財(cái)務(wù)指標(biāo)和相關(guān)數(shù)據(jù)對(duì)比分析了XX證券公司的財(cái)務(wù)狀況及主要財(cái)務(wù)風(fēng)險(xiǎn)點(diǎn)。第四章對(duì)XX證券公司財(cái)務(wù)風(fēng)險(xiǎn)管理現(xiàn)狀及成因進(jìn)行剖析。第五章針對(duì)該公司目前存在的主要財(cái)務(wù)風(fēng)險(xiǎn)管理漏洞,提出完善XX公司財(cái)務(wù)風(fēng)險(xiǎn)管理的具體建議。
[Abstract]:With the development of the securities market in our country, the securities companies of our country have also got rapid development. However, due to the influence and restriction of various aspects, there are inevitably some problems in the operation and management of the securities companies. These problems determine the high risk characteristics of Chinese securities companies at this stage. As the high-end industry of the financial industry, securities companies are faced with many risks, such as policy risks, industry competition risks and business risks, and all kinds of risks will ultimately be transformed into financial risks. How to deal with the changes of the market and strengthen the construction of its own financial risk management system has become a problem that the securities companies have to think deeply. This paper takes XX Securities Company as the research object, by analyzing the basic characteristics and main sources of the financial risk of the securities company, analyzes the main financial risk points faced by XX Securities Company at present. The present situation of the financial risk management system and the causes of the financial risk are analyzed, and to solve these problems as the starting point, combined with the advanced financial risk management theory and mature financial risk management experience at home and abroad, In order to improve XX securities company and other enterprises with the same problems in the financial risk management system to provide some targeted suggestions to prevent the occurrence of financial crisis. The innovation of this paper is that according to the particularity of the cause of financial risk of XX Securities Company, some opinions are given in order to perfect the construction of financial risk management of XX Securities Company. In terms of research methods, this paper adopts the method of combining normative research and case study, from the description of the concept and characteristics of financial risk, introduces the common sources of financial risk of securities companies in China at present. Taking XX Securities Company as the case study object, through the analysis of its main financial risk point, the present situation and cause of formation of financial risk management, this paper points out the existing problems and the direction of improvement, and puts forward some concrete suggestions to perfect the financial risk management of XX Securities Company. In this paper, three representative securities companies in the industry are selected, and the relative important financial indexes in 2011 are compared and analyzed horizontally. For XX Securities Company's various financial risk indicators, this paper obtains a large number of the company's specific data for detailed analysis. This paper consists of an introduction and four chapters of the body of the introduction. This paper introduces the research background, significance, literature review, research ideas and framework. The second chapter is an overview of financial risk of securities companies, focusing on the characteristics and main sources of financial risks of securities companies. The third chapter analyzes XX Securities Company's financial situation and main financial risk points by comparing the main financial indexes and related data. Chapter four analyzes the current situation and causes of XX Securities Company's financial risk management. The fifth chapter puts forward some concrete suggestions to improve XX company's financial risk management according to the main financial risk management loophole of the company at present.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.39;F275

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