【摘要】：近些年來,中國資本市場的跨越式發(fā)展給證券行業(yè)帶來了很大的變化——證券公司經(jīng)紀業(yè)務從單純的通道制服務到金融產(chǎn)品的差異化競爭；從傳統(tǒng)的柜臺交易到網(wǎng)上、手機證券非現(xiàn)場交易；從“大鍋飯”式的粗放營銷到個性化的精準服務；從“趕鴨子上架”式的股票推薦到專業(yè)化、技術(shù)化的理財分析。這些變化也對證券公司的風險管理提出了更高的要求,經(jīng)紀業(yè)務涉及的主體較多,環(huán)節(jié)復雜,證券經(jīng)紀業(yè)務盈利風險來源較多,如何對風險控制繼續(xù)盈利趨勢,仍是一個較難解決的問題。 H證券公司是一家大型證券公司,在證券業(yè)監(jiān)管評級中屬于AA類券商,現(xiàn)擁有營業(yè)部218家,在經(jīng)紀業(yè)務方面有一定的業(yè)務特色和市場影響,整個公司的主營收入也是傳統(tǒng)經(jīng)紀業(yè)務。但在快速發(fā)展的證券大軍中,H證券公司也逐漸顯露出一些問題：隨著營業(yè)部數(shù)量的快速擴張,如何控制好網(wǎng)點風險管理；以及隨著經(jīng)紀業(yè)務創(chuàng)新產(chǎn)品的不斷推出,給經(jīng)紀業(yè)務風險管理帶來了諸多難題。本文分析了H證券公司出現(xiàn)的操作風險、管理風險、技術(shù)風險以及營銷風險,并給出了相應的改進措施。
[Abstract]:In recent years, the leapfrog development of China's capital market has brought great changes to the securities industry. The brokerage business of securities companies has changed from simple channel service to differential competition of financial products, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, and from "big pot rice" extensive marketing to personalized precision service. From the "catch duck on the shelves" type of stock recommendation to professional, technical financial analysis. These changes also put forward higher requirements for the risk management of securities companies. The brokerage business involves more subjects, the links are complex, and there are many sources of profit risk in the securities brokerage business. How to control the risk to continue the profit trend is still a difficult problem to solve. H Securities Company is a large securities company, which belongs to AA securities company in the supervision and rating of securities industry. It now has 218 business departments. It has certain business characteristics and market influence in brokerage business, and the main income of the whole company is also the traditional brokerage business. However, in the rapidly developing securities army, H securities companies have gradually revealed some problems: with the rapid expansion of the number of business departments, how to control the network risk management; and with the continuous introduction of innovative products in brokerage business, there are many problems for brokerage business risk management. This paper analyzes the operational risk, management risk, technical risk and marketing risk of H securities company, and gives the corresponding improvement measures.
【學位授予單位】：蘭州大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：F832.39

【參考文獻】

相關(guān)期刊論文 前10條

1 沈維濤;我國證券公司的風險與防范[J];財貿(mào)經(jīng)濟;2001年09期

2 聞岳春;美國證券投資基金管理公司風險管理、內(nèi)部控制及其借鑒[J];財貿(mào)經(jīng)濟;2001年12期

3 李進安;對證券公司風險管理制度建設的思考[J];當代財經(jīng);2004年12期

4 朱渝梅;論證券公司風險管理和控制[J];南方金融;2003年07期

5 鄧少靈,戴光岳,王子成;證券經(jīng)營機構(gòu)的風險管理[J];華東經(jīng)濟管理;2002年06期

6 許平彩;談證券自營業(yè)務的風險及防范[J];經(jīng)濟與管理;2004年02期

7 彭中明;證券公司風險生成機理的一般分析[J];江蘇經(jīng)濟探討;1999年11期

8 張琴;陳柳欽;;風險管理理論沿襲和最新研究趨勢綜述[J];金融理論與實踐;2008年10期

9 楊鳳林,王娟;中外證券公司風險防范研究[J];世界經(jīng)濟;1999年05期

10 劉任儉;我國券商委托理財業(yè)務的現(xiàn)狀、問題和規(guī)范發(fā)展的舉措[J];新金融;2002年03期

相關(guān)博士學位論文 前3條

1 周玲玲;20世紀70年代以來美國投資銀行變遷研究[D];吉林大學;2011年

2 肖新華;證券公司自營業(yè)務風險管理研究[D];中南大學;2010年

3 謝樂斌;制度變遷中的中國證券公司風險行為研究[D];華東師范大學;2010年

，

本文編號：2501501