【摘要】：目前全球經(jīng)濟(jì)仍然處于動(dòng)蕩之中,與金融危機(jī)之前相比,投資銀行行業(yè)的發(fā)展面臨著很大的挑戰(zhàn),加強(qiáng)風(fēng)險(xiǎn)管理成為保障投行業(yè)務(wù)穩(wěn)健運(yùn)營(yíng)的重要手段。中信證券是我國(guó)證券公司的龍頭企業(yè),投行業(yè)務(wù)作為中信證券的重要板塊,對(duì)提升中信證券的實(shí)力和競(jìng)爭(zhēng)力起著重要作用。本文從投資銀行和風(fēng)險(xiǎn)管理的基本理論出發(fā),通過(guò)對(duì)中信證券投行業(yè)務(wù)的現(xiàn)狀、問(wèn)題進(jìn)行分析,提出改善中信證券投行業(yè)務(wù)風(fēng)險(xiǎn)管理水平的措施,為我國(guó)證券公司投行業(yè)務(wù)的風(fēng)險(xiǎn)管理發(fā)展起到一定的參考作用。 本文首先對(duì)投行業(yè)務(wù)風(fēng)險(xiǎn)管理的國(guó)內(nèi)外相關(guān)研究現(xiàn)狀進(jìn)行了研究,并總結(jié)與歸納了本文所涉及的相關(guān)理論。在此基礎(chǔ)上,對(duì)中信證券的風(fēng)險(xiǎn)管理現(xiàn)狀進(jìn)行了分析,包括風(fēng)險(xiǎn)管理機(jī)構(gòu)設(shè)置,風(fēng)險(xiǎn)管理指標(biāo)體系等,并對(duì)其中存在的問(wèn)題進(jìn)行了分析。在對(duì)問(wèn)題進(jìn)行分析的基礎(chǔ)上,本文對(duì)中信證券投行業(yè)務(wù)風(fēng)險(xiǎn)的控制體系進(jìn)行了構(gòu)建,包括建立目標(biāo),各主要環(huán)節(jié)的具體建設(shè)措施等。最后本文提出了中信證券加強(qiáng)風(fēng)險(xiǎn)管理的保障措施,包括積極吸取國(guó)外投行業(yè)務(wù)風(fēng)險(xiǎn)管理的理念與經(jīng)驗(yàn),加大人才培養(yǎng)力度,包括建立完備的薪酬、福利體系,人才培養(yǎng)制度化和長(zhǎng)期化,擴(kuò)大資本規(guī)模以提升風(fēng)險(xiǎn)抵御實(shí)力,樹(shù)立新的發(fā)展理念構(gòu)建風(fēng)險(xiǎn)預(yù)警機(jī)制處理好風(fēng)險(xiǎn)管理與企業(yè)發(fā)展的關(guān)系等幾個(gè)方面。
[Abstract]:At present, the global economy is still in turmoil. Compared with before the financial crisis, the development of the investment banking industry is facing great challenges. Strengthening risk management has become an important means to ensure the sound operation of investment banking business. CITIC Securities is the leading enterprise of China's securities companies. As an important part of CITIC Securities, investment banking plays an important role in enhancing the strength and competitiveness of CITIC Securities. Based on the basic theory of investment banking and risk management, this paper analyzes the present situation and problems of CITIC Securities Investment Bank, and puts forward some measures to improve the risk management level of CITIC Securities Investment Bank. It will play a certain reference role in the development of risk management of investment banking business of securities companies in China. Firstly, this paper studies the current situation of investment banking risk management at home and abroad, and summarizes the relevant theories involved in this paper. On this basis, the present situation of risk management of CITIC Securities is analyzed, including the setting of risk management organization and the index system of risk management, and the existing problems are analyzed. Based on the analysis of the problems, this paper constructs the risk control system of CITIC Securities Investment Bank, including the establishment of objectives, the specific construction measures of the main links, and so on. Finally, the paper puts forward the guarantee measures to strengthen the risk management of CITIC Securities, including actively absorbing the concept and experience of risk management in foreign investment banking business, increasing the strength of personnel training, including establishing a complete salary and welfare system. Personnel training is institutionalized and long-term, capital scale is expanded to enhance the strength of risk resistance, new development concept is set up, risk warning mechanism is constructed to deal with the relationship between risk management and enterprise development, and so on.
【學(xué)位授予單位】：中南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：F832.39

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