本文選題：投資銀行 + IPO業(yè)務(wù)　； 參考：《內(nèi)蒙古大學(xué)》2012年碩士論文

【摘要】：隨著我國(guó)證券市場(chǎng)的逐步成熟與完善,IPO業(yè)務(wù)呈現(xiàn)出快速發(fā)展的趨勢(shì)。在業(yè)務(wù)高速發(fā)展的情況下,中國(guó)證券監(jiān)督管理委員會(huì)的監(jiān)管力度進(jìn)一步加大,市場(chǎng)透明度進(jìn)一步增強(qiáng),如果不相應(yīng)提高對(duì)風(fēng)險(xiǎn)管理的重視程度,風(fēng)險(xiǎn)發(fā)生的概率將大幅提升,一旦爆發(fā),將嚴(yán)重影響品牌聲譽(yù),不論對(duì)業(yè)務(wù)本身還是所屬公司都將是沉重的打擊。另一方面,恒泰證券公司投資銀行作為經(jīng)營(yíng)風(fēng)險(xiǎn)的金融機(jī)構(gòu),風(fēng)險(xiǎn)管理水平的高低也是衡量核心競(jìng)爭(zhēng)力的重要指標(biāo)之一。鑒于此,恒泰證券公司投資銀行加強(qiáng)IPO業(yè)務(wù)的風(fēng)險(xiǎn)管理是必要、迫切的,對(duì)IPO業(yè)務(wù)風(fēng)險(xiǎn)管理的研究無(wú)論在實(shí)踐中還是在理論上具有重要意義。 論文從IPO業(yè)務(wù)宏觀管理環(huán)境與業(yè)務(wù)流程風(fēng)險(xiǎn)控制兩個(gè)角度研究恒泰證券公司投資銀行IPO業(yè)務(wù)的風(fēng)險(xiǎn)情況,使用影響IPO業(yè)務(wù)宏觀環(huán)境的七個(gè)要素及COSO報(bào)告內(nèi)控理論進(jìn)行分析檢驗(yàn),并提出解決方案,目的是提高IPO業(yè)務(wù)的項(xiàng)目成功率和風(fēng)險(xiǎn)管理水平。全文分為五章：第一章為緒論,主要介紹選題背景及意義；論文的研究方法路徑及手段；論文的框架結(jié)構(gòu)。第二章主要介紹恒泰證券公司概況；投資銀行及IPO業(yè)務(wù)簡(jiǎn)介；IPO業(yè)務(wù)的主要宏觀影響因素及風(fēng)險(xiǎn)事項(xiàng)；IPO業(yè)務(wù)流程風(fēng)險(xiǎn)。第三章主要介紹COSO報(bào)告內(nèi)控框架；IPO業(yè)務(wù)外部環(huán)境情況分析及IPO業(yè)務(wù)內(nèi)部控制分析。第四章主要介紹恒泰證券公司投資銀行IPO業(yè)務(wù)存在問(wèn)題及改進(jìn)建議。第五章為論文的結(jié)論與展望。 通過(guò)對(duì)IPO業(yè)務(wù)風(fēng)險(xiǎn)控制的深入研究,本文得出兩個(gè)主要結(jié)論： 1、目前恒泰證券公司,甚至是我國(guó)整個(gè)投資銀行IPO業(yè)務(wù)風(fēng)險(xiǎn)控制注重的都是靜態(tài)的風(fēng)險(xiǎn)管理,忽視了動(dòng)態(tài)風(fēng)險(xiǎn)管理,沒(méi)有充分認(rèn)識(shí)到外部環(huán)境變動(dòng)的重要性,本文認(rèn)為應(yīng)特別加強(qiáng)IPO業(yè)務(wù)動(dòng)態(tài)風(fēng)險(xiǎn)管理,時(shí)刻關(guān)注監(jiān)管重點(diǎn)與風(fēng)險(xiǎn)防范的重點(diǎn)變化,跟得上監(jiān)管的腳步,這是提高項(xiàng)目成功率的有效措施。 2、恒泰證券公司投資銀行IPO業(yè)務(wù)最根本的問(wèn)題是管理者與從業(yè)者大多是站在相互信任的基礎(chǔ)上實(shí)施風(fēng)險(xiǎn)管理。使得內(nèi)控理論的運(yùn)用大打折扣。
[Abstract]:With the maturation and perfection of China's securities market, IPO business is developing rapidly. With the rapid development of business, the supervision of the China Securities Regulatory Commission has been further strengthened, and the transparency of the market has been further enhanced. If the degree of emphasis on risk management is not correspondingly increased, the probability of the occurrence of risks will be greatly increased. Once the outbreak, will seriously affect the brand reputation, both the business itself and the company will be a heavy blow. On the other hand, the investment bank of Hengtai Securities Company is one of the important indexes to measure the core competitiveness. In view of this, it is necessary and urgent for the investment bank of Hengtai Securities Company to strengthen the risk management of IPO business. The research on the risk management of IPO business is of great significance both in practice and in theory. This paper studies the risk of IPO business of Hengtai Securities Company from two angles of IPO business macro management environment and business process risk control. It uses seven factors that affect the macro environment of IPO business and the internal control theory of COSO report to analyze and test it. The purpose of this paper is to improve the project success rate and risk management level of IPO business. The thesis is divided into five chapters: the first chapter is the introduction, which mainly introduces the background and significance of the topic, the research methods and means, and the frame structure of the thesis. The second chapter mainly introduces the general situation of Hengtai Securities Company, the investment bank and the IPO business brief introduction, the main macroscopic influence factor and the risk item of the IPO business process risk. The third chapter mainly introduces the analysis of the external environment of COSO internal control framework and the analysis of IPO internal control. The fourth chapter mainly introduces the existing problems and improvement suggestions of Hengtai Securities Investment Bank's IPO business. The fifth chapter is the conclusion and prospect of the thesis. Through the in-depth study of IPO business risk control, this paper draws two main conclusions: 1. At present, Hengtai Securities Company, even the whole investment bank IPO business risk control pays attention to the static risk management, neglects the dynamic risk management, does not fully realize the importance of the external environment change. This paper holds that the dynamic risk management of IPO business should be strengthened, and the key points of supervision and risk prevention should be paid close attention to, so as to keep up with the steps of supervision, which is an effective measure to improve the success rate of projects. 2, the most fundamental problem of the investment bank IPO business of Hengtai Securities Company is that most managers and practitioners carry out risk management on the basis of mutual trust. The application of internal control theory is greatly reduced.
【學(xué)位授予單位】：內(nèi)蒙古大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F832.51;F224

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本文編號(hào)：1948289