本文選題：證券公司 + 風(fēng)險(xiǎn)應(yīng)對(duì)�。� 參考：《廣西大學(xué)》2014年碩士論文

【摘要】：風(fēng)險(xiǎn)無處不在,也無所不在,由于忽略風(fēng)險(xiǎn)或沒有嚴(yán)格管理風(fēng)險(xiǎn)而導(dǎo)致的重大損失也時(shí)有發(fā)生。在經(jīng)濟(jì)全球化的背景下,我國(guó)各行各業(yè)的企業(yè)都在努力改善自身的經(jīng)營(yíng)管理以提高自身的國(guó)際競(jìng)爭(zhēng)力,同時(shí)逐步建立完善的風(fēng)險(xiǎn)管理制度,增強(qiáng)抗風(fēng)險(xiǎn)的能力,以便降低風(fēng)險(xiǎn)事故所帶來的損失,從而提高企業(yè)的應(yīng)對(duì)危機(jī)能力和生存能力。對(duì)于證券公司來說,風(fēng)險(xiǎn)更是如影隨形。我國(guó)證券公司的發(fā)展起步晚,在風(fēng)險(xiǎn)管理方面的理論研究以及實(shí)踐經(jīng)驗(yàn)不足,通過借鑒國(guó)外的先進(jìn)管理經(jīng)驗(yàn)和風(fēng)險(xiǎn)管理理念,近年來我國(guó)證券公司迅速發(fā)展的同時(shí),各監(jiān)管部門以及證券公司本身也在積極地探索并不斷地完善風(fēng)險(xiǎn)管理規(guī)章制度和控制體系。從《證券法》的頒布與實(shí)施,到中國(guó)證監(jiān)會(huì)制定《證券公司內(nèi)部控制指引》,中國(guó)證券監(jiān)督管理委員會(huì)審議通過的《證券公司風(fēng)險(xiǎn)控制指標(biāo)管理辦法》,再到2014年3月1日起施行的《證券公司全面風(fēng)險(xiǎn)管理規(guī)范》,無不體現(xiàn)了監(jiān)管機(jī)構(gòu)對(duì)證券公司內(nèi)部風(fēng)險(xiǎn)管理的逐步完善和規(guī)范約束。 本文以國(guó)內(nèi)外學(xué)者對(duì)金融及證券行業(yè)風(fēng)險(xiǎn)管理方面的研究綜述,以及證券監(jiān)管機(jī)構(gòu)制定的條例規(guī)范為依據(jù),對(duì)證券公司的風(fēng)險(xiǎn)進(jìn)行識(shí)別分析,再根據(jù)證券公司的各業(yè)務(wù)特點(diǎn)進(jìn)行風(fēng)險(xiǎn)應(yīng)對(duì)的理論闡述。本文以光大證券公司作為研究對(duì)象,對(duì)其目前的經(jīng)營(yíng)狀況及公司組織架構(gòu)和業(yè)務(wù)開展情況作了介紹,并重點(diǎn)對(duì)816烏龍指事件進(jìn)行梳理,而后結(jié)合前文的風(fēng)險(xiǎn)管理和內(nèi)部控制方面的理論,對(duì)光大證券公司的烏龍指事件所暴露出來的風(fēng)險(xiǎn)管理方面的缺陷進(jìn)行詳細(xì)分析,從而得出優(yōu)化光大證券公司風(fēng)險(xiǎn)管理體系的基本原則,以及進(jìn)一步加強(qiáng)風(fēng)險(xiǎn)管理文化建設(shè),完善風(fēng)險(xiǎn)管理組織架構(gòu),并完善風(fēng)險(xiǎn)預(yù)警系統(tǒng)和加強(qiáng)信息系統(tǒng)風(fēng)險(xiǎn)管理等一系列建設(shè)性意見。
[Abstract]:Risk is ubiquitous and ubiquitous, and significant losses due to neglect or lack of strict risk management occur from time to time.Under the background of economic globalization, enterprises in various industries of our country are trying to improve their own management to improve their international competitiveness, at the same time, gradually establish a sound risk management system, enhance the ability to resist risks.In order to reduce the loss caused by risk accidents, and improve the ability of enterprises to cope with crisis and survival.For the securities companies, the risk is even more like a shadow.The development of securities companies in our country started late, the theoretical research and practical experience in risk management are not enough. By learning from the advanced management experience and risk management concept of foreign countries, the securities companies of our country have developed rapidly in recent years.The regulatory departments and the securities companies themselves are actively exploring and perfecting the risk management regulations and control systems.From the promulgation and implementation of the Securities Law,To the CSRC to formulate the "guidelines on Internal Control of Securities companies", the measures for the Management of risk Control indicators of Securities companies examined and approved by the China Securities Regulatory Commission, and the "Securities companies all" to come into effect on March 1, 2014The regulation of risk management reflects the gradual improvement and regulation of the internal risk management of securities companies.In this paper, the risk of securities companies is identified and analyzed based on the review of domestic and foreign scholars' research on risk management in finance and securities industry, as well as the regulations and norms formulated by securities regulatory bodies.Then according to the business characteristics of securities companies to deal with the risks of theoretical elaboration.This paper takes Everbright Securities Company as the research object, introduces its current management situation, organization structure and business development of the company, and focuses on combing the 816 Oolong finger incident.Then combined with the previous theories of risk management and internal control, the defects in risk management exposed by the Oolong finger incident of Everbright Securities Company were analyzed in detail.Thus, the basic principles of optimizing the risk management system of Everbright Securities Company are obtained, and the construction of risk management culture is further strengthened, and the organizational structure of risk management is improved.And perfect risk early warning system and strengthen information system risk management and a series of constructive suggestions.
【學(xué)位授予單位】：廣西大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.39

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