本文選題：證券經(jīng)紀業(yè)務 + 風險管理��； 參考：《湘潭大學》2012年碩士論文

【摘要】：隨著我國金融市場的不斷開放和向前發(fā)展，證券行業(yè)也隨之興旺起來。證券經(jīng)紀業(yè)務是目前我國證券市場上的主導業(yè)務，證券經(jīng)紀業(yè)務風險管理受到社會各界越來越高的重視。經(jīng)紀業(yè)務作為方正證券公司最重要的基礎(chǔ)業(yè)務，其收益占公司總收益的比重很大，近幾年來均超過50％，而隨著業(yè)務量的不斷擴大，在證券經(jīng)紀業(yè)務中潛在的風險也越來越高。經(jīng)紀業(yè)務的成敗，，嚴重影響公司的總體發(fā)展。因此，為使公司健康穩(wěn)定的發(fā)展，本文在對方正證券公司在開展證券經(jīng)紀業(yè)務時涉及到風險管理方面的問題進行了梳理，基于發(fā)現(xiàn)的問題對如何管理方正證券的經(jīng)紀業(yè)務風險做了深入的研究。 本文首先進行了基本概念的界定，同時在分析風險管理相關(guān)理論的基礎(chǔ)上簡單的從產(chǎn)生、發(fā)展及其在國內(nèi)的發(fā)展環(huán)境方面對證券公司經(jīng)紀業(yè)務進行介紹。接著重點剖析了方正證券公司的經(jīng)紀業(yè)務發(fā)展歷程和現(xiàn)狀，并對方正證券公司的經(jīng)紀業(yè)務風險表現(xiàn)和目前公司的經(jīng)紀業(yè)務風險管理情況進行深入的分析。用圖表法列出方正證券在經(jīng)紀業(yè)務中存在的風險種類，同時運用對比法審視方正證券在證券經(jīng)紀業(yè)務風險管理方面的不足。從而梳理了方正證券在經(jīng)紀業(yè)務風險管理方面存在的問題：其一，經(jīng)紀業(yè)務擴張速度過快，難以控制經(jīng)紀業(yè)務風險；其二，內(nèi)部控制不完善，未建立高效的風險管理組織結(jié)構(gòu)；其三，缺少對外交流，缺乏外部監(jiān)管；其四，風險控制意識薄弱，忽視風險控制。 針對在方正證券經(jīng)紀業(yè)務風險管理方面發(fā)現(xiàn)的問題，本文從控制營業(yè)部擴張速度，加強內(nèi)部業(yè)務人員交流；創(chuàng)造有利于風險管理有效運轉(zhuǎn)的內(nèi)部環(huán)境，加大內(nèi)部控制力度；加強對外交流，引進外部監(jiān)管以及培育誠信為本、合規(guī)優(yōu)先的公司文化，提高員工風險控制意識等四個方面對方正證券的經(jīng)紀業(yè)務風險管理提出改進建議。 本文僅僅針對方正證券公司自身證券經(jīng)紀業(yè)務所面臨的風險管理中的不足提出完善控制管理的措施，未能從經(jīng)濟、金融等方面來宏觀的看待這個問題，這方面還有待我們進一步深入研究。
[Abstract]:With the continuous opening and development of our financial market, the securities industry has also flourished. The securities brokerage business is the leading business in the securities market in our country at present. The risk management of the securities brokerage business is paid more and more attention by the society. Brokerage business is the most important basic business of Fangzheng Securities Company, and its income accounts for a large proportion of the total income of the company. In recent years, it has exceeded 50%, but with the continuous expansion of business, the potential risk in securities brokerage business is becoming higher and higher. The success or failure of brokerage business seriously affects the overall development of the company. Therefore, in order to ensure the healthy and stable development of the company, this paper combs the problems of risk management in the development of securities brokerage business. Based on the discovered problems, how to manage the brokerage risk of Fangzheng Securities is studied deeply. This paper firstly defines the basic concepts and introduces the brokerage business of securities companies from the aspects of emergence, development and the domestic development environment on the basis of analyzing the related theories of risk management. Then it analyzes the history and present situation of the brokerage business of Fangzheng Securities Company, and analyzes the risk performance of brokerage business and the risk management of brokerage business. This paper lists the risk types of Fangzheng Securities in brokerage business by using chart method, and examines the deficiency of Fangzheng Securities in risk management of securities brokerage business by using comparative method. This paper combs the problems in the risk management of brokerage business in Fangzheng Securities: firstly, the expansion of brokerage business is too fast to control the risk of brokerage business, secondly, the internal control is not perfect, and the efficient risk management organization structure is not established. Third, lack of external communication, lack of external supervision; fourth, weak awareness of risk control, ignore risk control. In view of the problems found in the risk management of Fangzheng securities brokerage business, this paper aims at controlling the expansion speed of the business department, strengthening the exchange of internal business personnel, creating an internal environment conducive to the effective operation of risk management, and strengthening the internal control. Four aspects, such as strengthening foreign exchange, introducing external supervision, cultivating the company culture of honesty and credit, giving priority to compliance, and raising the awareness of employee risk control, put forward some suggestions for improving the risk management of brokerage business in each other's securities. This paper only aims at the deficiency of risk management in the securities brokerage business of Fang Zheng Securities Company, and puts forward some measures to perfect the control management, and fails to look at this problem macroscopically from the aspects of economy and finance. This aspect still needs our further research.
【學位授予單位】：湘潭大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：F832.39

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