本文關(guān)鍵詞：海洋經(jīng)濟(jì)區(qū)產(chǎn)業(yè)投資基金全面風(fēng)險(xiǎn)管理研究　出處：《山東大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 海洋經(jīng)濟(jì)區(qū) 產(chǎn)業(yè)投資基金 風(fēng)險(xiǎn) 全面風(fēng)險(xiǎn)管理

【摘要】：產(chǎn)業(yè)投資基金在我國起步較晚,規(guī)模不一,行業(yè)成熟度不是很高,在理論研究上,尤其是在全面風(fēng)險(xiǎn)管理方面,可用指導(dǎo)實(shí)踐工作的成果不是很多,欠缺更多。實(shí)踐中,風(fēng)險(xiǎn)管理在銀行、保險(xiǎn)公司等金融機(jī)構(gòu)中有相對成熟的體系,除此外的其它各類企業(yè)中,風(fēng)險(xiǎn)管理意識(shí)及全面風(fēng)險(xiǎn)管理體系的建立與應(yīng)用仍處于初級(jí)階段,產(chǎn)業(yè)投資基金的風(fēng)險(xiǎn)管理更是存在著嚴(yán)重的不足。本文以海洋經(jīng)濟(jì)區(qū)產(chǎn)業(yè)投資基金(以下簡稱海洋基金)的全面風(fēng)險(xiǎn)管理為研究對象,結(jié)合海洋基金管理公司(以下簡稱HY公司)全面風(fēng)險(xiǎn)管理的現(xiàn)狀和存在的問題,提出建立適合于海洋基金的全面風(fēng)險(xiǎn)管理體系。 本文采用文獻(xiàn)研究法、案例研究法和問卷調(diào)查法,在文獻(xiàn)梳理的基礎(chǔ)上,首先進(jìn)行了關(guān)鍵概念界定,歸納了基金的特點(diǎn)；然后本研究以海洋基金為研究對象,介紹了海洋基金的運(yùn)營模式,描述了海洋基金在整體層面和具體操作過程中的風(fēng)險(xiǎn)管理體現(xiàn)狀,結(jié)合COSO框架的八個(gè)方面,對海洋基金在風(fēng)險(xiǎn)管理方面存在的問題做了評(píng)估。根據(jù)評(píng)估結(jié)果,海洋基金存在五個(gè)方面的主要風(fēng)險(xiǎn)：第一、治理結(jié)構(gòu)不完善,內(nèi)部管理不規(guī)范；第二、人力資源體系有欠缺,尤其在優(yōu)秀人才流失方面存在較大風(fēng)險(xiǎn)；第三、戰(zhàn)略目標(biāo)不明確,經(jīng)營目標(biāo)不清晰；第四、風(fēng)險(xiǎn)管理獨(dú)立性不夠,風(fēng)險(xiǎn)控制能力較弱；第五、內(nèi)部溝通不流暢,管理層與經(jīng)營層信息交流上脫節(jié)。根據(jù)前述問題,本研究針對海洋基金現(xiàn)有的問題及其特有屬性,提出了海洋基金全面風(fēng)險(xiǎn)管理體系。該體系從建立體系的目標(biāo)出發(fā),提出了建立體系的八項(xiàng)基本原則,梳理了公司各個(gè)部門及具體業(yè)務(wù)流程中存在的主要風(fēng)險(xiǎn)點(diǎn)及風(fēng)險(xiǎn)成因,并提出了全面風(fēng)險(xiǎn)管理體系中風(fēng)險(xiǎn)評(píng)價(jià)和風(fēng)險(xiǎn)應(yīng)對系統(tǒng),最后建立了海洋基金全面風(fēng)險(xiǎn)管理體系的信息溝通體制和監(jiān)控機(jī)制。 綜上所述,本研究豐富了全面風(fēng)險(xiǎn)管理及產(chǎn)業(yè)投資基金的研究領(lǐng)域和研究內(nèi)容,對海洋基金的良好運(yùn)營和其他產(chǎn)業(yè)投資基金的操作提供了實(shí)踐經(jīng)驗(yàn)借鑒。
[Abstract]:The industrial investment fund starts late in our country, the scale is different, the industry maturity is not very high, in the theory research, especially in the comprehensive risk management aspect, may guide the practice work the achievement is not many. Lack of more. In practice, risk management in banks, insurance companies and other financial institutions have a relatively mature system, except for other types of enterprises. The establishment and application of risk management consciousness and comprehensive risk management system are still in the primary stage. The risk management of the industrial investment fund is even more serious. This paper takes the overall risk management of the industrial investment fund of the marine economic zone (hereinafter referred to as the ocean fund) as the research object. Combined with the present situation and existing problems of the overall risk management of Ocean Fund Management Company (HY Company), a comprehensive risk management system suitable for ocean fund is proposed. Based on the literature research, case study and questionnaire survey, this paper firstly defines the key concepts and summarizes the characteristics of the fund. Then this study takes the ocean fund as the research object, introduces the operating mode of the ocean fund, describes the current situation of the risk management system of the ocean fund in the overall level and the concrete operation process. Combined with the eight aspects of the COSO framework, this paper evaluates the problems in the risk management of the ocean fund. According to the evaluation results, there are five main risks in the ocean fund: first, the governance structure is not perfect. Internal management is not standardized; Second, the human resources system is deficient, especially in the loss of outstanding talents there is a greater risk; Third, the strategic goal is not clear, the management goal is not clear; 4th, the risk management independence is not enough, the risk control ability is weak; 5th, the internal communication is not smooth, the management and the management level information exchange disconnect. According to the above question, this research aims at the ocean fund existing question and its characteristic attribute. This paper puts forward a comprehensive risk management system of ocean fund, which starts from the goal of establishing the system, and puts forward eight basic principles of establishing the system. Combing the main risk points and risk causes in various departments and specific business processes of the company, and putting forward the risk evaluation and risk response system in the overall risk management system. Finally, the information communication system and monitoring mechanism of the comprehensive risk management system of ocean fund are established. To sum up, this study enriches the research field and research contents of comprehensive risk management and industrial investment funds, and provides practical experience for the good operation of ocean funds and the operation of other industrial investment funds.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F272.3;F832.51

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