CC證券公司經紀業(yè)務風險控制及改進措施研究
發(fā)布時間：2019-01-03 21:41
【摘要】：在中國，證券行業(yè)仍然是一個年輕的新興行業(yè)，從誕生至今，，也只不過走過了20多年的歷程。隨著證券行業(yè)的高速發(fā)展，風險也存在于證券公司的各個方面。對風險的管理、控制是券商在開展經營活動時中必須要思考的問題。目前，由于證券行業(yè)發(fā)展的不平衡，證券經紀業(yè)務從開始至今仍然是證券公司的主導業(yè)務，因其風險管理不善而導致券商被監(jiān)管部門重組或直接關閉的事件在近幾年時有發(fā)生。證券經紀業(yè)務風險管理越來越受到證券市場各方的重視，CC證券公司也不例外，經紀業(yè)務作為公司的重要基礎業(yè)務，其收益一直占公司整體收益較大的占比。近幾年，由于其它業(yè)務的發(fā)展，經紀業(yè)務占比雖有所下降，但仍達到30％左右。經紀業(yè)務開展的好壞，直接影響著公司的整體發(fā)展。 本文以CC證券公司經紀業(yè)務風險管理體系為研究對象，在充分學習、借鑒前人對風險管理研究和實踐成果的基礎上，通過風險管理理論、運管管理理論、原則監(jiān)管理論，利用圖表、數(shù)據(jù)、例證等數(shù)據(jù)資料，系統(tǒng)分析CC證券公司經紀業(yè)務風險及管理現(xiàn)狀，研究評判其風險管理構成要素的完備性與有效性，分析其風險管理體系的優(yōu)劣，總結其在風險管理上的得失，并進一步提出改進的對策建議。 本文分為五章內容。第一章緒論；第二章介紹本文研究風險管理的理論基礎；第三章描述CC證券公司經紀業(yè)務面臨風險的分類、管理現(xiàn)狀及采取的措施；第四章描述了CC證券公司風險體系的優(yōu)劣，提出改進意見；第五章為結論與展望，總結全文并提出風險管理還需注意的問題。 作者通過對CC證券公司經紀業(yè)務的風險管理體系進行系統(tǒng)研究，結合實際工作，力爭做到在保證其經紀業(yè)務在風險可控的前提下，最大限度的支持經紀業(yè)務的開展。如何平衡風險與業(yè)務發(fā)展之間的關系，成為公司當前乃至今后的一個迫切的、長期的任務，也是一個需要長期研究的課題。
[Abstract]:In China, the securities industry is still a young emerging industry, from its birth to now, but also through more than 20 years of history. With the rapid development of securities industry, risks also exist in all aspects of securities companies. Risk management, control is the securities companies in the development of business activities must be considered. At present, due to the imbalance of the development of securities industry, securities brokerage business is still the dominant business of securities companies from the beginning to now. The risk management of securities brokerage business is paid more and more attention to by all parties in the securities market, and CC securities company is no exception. As an important basic business of a company, the income of brokerage business has always accounted for a large proportion of the company's overall income. In recent years, because of the development of other businesses, the proportion of brokerage business has declined, but still reach about 30%. Good or bad brokerage business, directly affect the overall development of the company. This paper takes the risk management system of brokerage business of CC securities company as the research object, on the basis of fully studying and drawing lessons from the previous research and practice of risk management, through the theory of risk management, the theory of transport management, the theory of principle supervision. With the help of charts, data, examples and other data, this paper systematically analyzes the risk and management status of brokerage business of CC Securities Company, studies and evaluates the completeness and effectiveness of its risk management elements, and analyzes the merits and demerits of its risk management system. This paper summarizes its gain and loss in risk management, and puts forward some countermeasures and suggestions for further improvement. This paper is divided into five chapters. The first chapter is the introduction, the second chapter introduces the theoretical basis of the research on risk management, the third chapter describes the classification of the risk faced by the brokerage business of CC securities company, the current management situation and the measures to be taken; The fourth chapter describes the advantages and disadvantages of the risk system of CC securities companies, and puts forward some suggestions for improvement. Chapter five is the conclusion and prospect, summarizes the full text and puts forward the problems that should be paid attention to in the risk management. Through the systematic research on the risk management system of brokerage business of CC Securities Company, combining with the actual work, the author tries to support the development of brokerage business to the maximum extent under the premise of ensuring that the brokerage business is under the control of risk. How to balance the relationship between risk and business development has become an urgent and long-term task for the company at present and in the future.
【學位授予單位】：天津大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：F832.39
本文編號：2399903
[Abstract]:In China, the securities industry is still a young emerging industry, from its birth to now, but also through more than 20 years of history. With the rapid development of securities industry, risks also exist in all aspects of securities companies. Risk management, control is the securities companies in the development of business activities must be considered. At present, due to the imbalance of the development of securities industry, securities brokerage business is still the dominant business of securities companies from the beginning to now. The risk management of securities brokerage business is paid more and more attention to by all parties in the securities market, and CC securities company is no exception. As an important basic business of a company, the income of brokerage business has always accounted for a large proportion of the company's overall income. In recent years, because of the development of other businesses, the proportion of brokerage business has declined, but still reach about 30%. Good or bad brokerage business, directly affect the overall development of the company. This paper takes the risk management system of brokerage business of CC securities company as the research object, on the basis of fully studying and drawing lessons from the previous research and practice of risk management, through the theory of risk management, the theory of transport management, the theory of principle supervision. With the help of charts, data, examples and other data, this paper systematically analyzes the risk and management status of brokerage business of CC Securities Company, studies and evaluates the completeness and effectiveness of its risk management elements, and analyzes the merits and demerits of its risk management system. This paper summarizes its gain and loss in risk management, and puts forward some countermeasures and suggestions for further improvement. This paper is divided into five chapters. The first chapter is the introduction, the second chapter introduces the theoretical basis of the research on risk management, the third chapter describes the classification of the risk faced by the brokerage business of CC securities company, the current management situation and the measures to be taken; The fourth chapter describes the advantages and disadvantages of the risk system of CC securities companies, and puts forward some suggestions for improvement. Chapter five is the conclusion and prospect, summarizes the full text and puts forward the problems that should be paid attention to in the risk management. Through the systematic research on the risk management system of brokerage business of CC Securities Company, combining with the actual work, the author tries to support the development of brokerage business to the maximum extent under the premise of ensuring that the brokerage business is under the control of risk. How to balance the relationship between risk and business development has become an urgent and long-term task for the company at present and in the future.
【學位授予單位】：天津大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：F832.39
【參考文獻】
相關期刊論文 前1條
1 王夢婕;;結合新巴塞爾協(xié)議淺議我國商業(yè)銀行操作風險的管理[J];商場現(xiàn)代化;2011年34期
本文編號：2399903
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