發(fā)布時(shí)間：2018-04-26 14:37

  本文選題：證券公司 + 風(fēng)險(xiǎn)管理　； 參考：《福建農(nóng)林大學(xué)》2017年碩士論文

【摘要】：風(fēng)險(xiǎn)本身是不可被消除的,我們能做的是最大限度降低風(fēng)險(xiǎn),加強(qiáng)風(fēng)險(xiǎn)管理。證券公司是以經(jīng)營風(fēng)險(xiǎn)為根本,參與金融市場并占據(jù)重要地位的金融機(jī)構(gòu)。風(fēng)險(xiǎn)管理能力是證券公司經(jīng)營成敗的根本,也是證券公司區(qū)別于一般金融機(jī)構(gòu)的核心特征。2008年由美國華爾街次貸危機(jī)所引發(fā)的全球金融危機(jī)讓全世界再次意識(shí)到金融風(fēng)險(xiǎn)可能帶來的巨大災(zāi)難,隨之而來的是全社會(huì)對(duì)金融安全的高度關(guān)注。2010年,歐債危機(jī)的爆發(fā)更是再次直接刺痛全社會(huì)的神經(jīng),如何加強(qiáng)金融風(fēng)險(xiǎn)管理儼然成為金融領(lǐng)域的核心問題和焦點(diǎn)問題。而在金融領(lǐng)域中,證券公司具有高風(fēng)險(xiǎn)特點(diǎn)。因?yàn)樽C券公司的運(yùn)營是基于自身業(yè)務(wù),有效降低和分散風(fēng)險(xiǎn),從而取得報(bào)酬的模式,因此在運(yùn)營過程中承擔(dān)著巨大的風(fēng)險(xiǎn)。如何加強(qiáng)證券公司風(fēng)險(xiǎn)管理,有效降低證券公司運(yùn)營風(fēng)險(xiǎn)成為當(dāng)前證券公司有序健康發(fā)展不得不思考和解決的首要問題。加之,證券公司在業(yè)務(wù)層面的創(chuàng)新和發(fā)展,使證券公司在業(yè)務(wù)收入和市場競爭力方面都得到長足發(fā)展,客觀上也對(duì)證券公司風(fēng)險(xiǎn)管理工作提出了更多要求。HF證券作為一家中等券商,走在從地方性券商向全國性券商轉(zhuǎn)變、從單一經(jīng)紀(jì)業(yè)務(wù)到全面業(yè)務(wù)拓展的高速發(fā)展道路上。2011-2013年間,隨著行業(yè)監(jiān)管政策的逐漸放開和我國金融市場的逐步發(fā)展,HF證券重新制定了公司發(fā)展戰(zhàn)略,從以經(jīng)紀(jì)業(yè)務(wù)為主的地方性券商轉(zhuǎn)變?yōu)楹w投資銀行業(yè)務(wù)、自營投資業(yè)務(wù)、融資融券業(yè)務(wù)、資產(chǎn)管理業(yè)務(wù)等全牌照、全國性券商,并設(shè)立基金子公司、直投子公司、另類投資子公司,在全國范圍內(nèi)新設(shè)立營業(yè)部,成立分公司。伴隨公司的發(fā)展,HF證券公司的風(fēng)險(xiǎn)管理部門成立于2013年,主要是為了滿足公司本身業(yè)務(wù)迅速發(fā)展的需求以及外部監(jiān)管的要求,但實(shí)際運(yùn)行效果顯示,該公司風(fēng)險(xiǎn)管理工作開展的深度及廣度滯后于業(yè)務(wù)發(fā)展。在業(yè)務(wù)全面拓展、外部監(jiān)管壓力和自身發(fā)展要求的三重壓力之下,HF證券公司構(gòu)建起適合公司發(fā)展戰(zhàn)略的風(fēng)險(xiǎn)管理成為現(xiàn)實(shí)必然。因此本文從HF證券公司風(fēng)險(xiǎn)管理角度著手,分析HF證券公司風(fēng)險(xiǎn)管理現(xiàn)狀,評(píng)估其風(fēng)險(xiǎn)管理存在的不足和問題,并有針對(duì)性提出優(yōu)化風(fēng)險(xiǎn)管理的對(duì)策。研究過程中,本文共分成六部分:第一部分為引言,主要介紹本研究的背景和意義、研究綜述、研究內(nèi)容、研究方法以及研究創(chuàng)新。第二部分為風(fēng)險(xiǎn)管理的理論概述,主要是討論風(fēng)險(xiǎn)管理內(nèi)容、證券公司風(fēng)險(xiǎn)管理類型和我國證券公司風(fēng)險(xiǎn)管理發(fā)展歷程三方面內(nèi)容。第三部分是對(duì)HF證券公司風(fēng)險(xiǎn)管理現(xiàn)狀的分析。主要介紹了 HF證券公司風(fēng)險(xiǎn)管理組織架構(gòu)、風(fēng)險(xiǎn)管理制度、風(fēng)險(xiǎn)管理隊(duì)伍、風(fēng)險(xiǎn)管理報(bào)告、風(fēng)險(xiǎn)管理指標(biāo)體系、各業(yè)務(wù)風(fēng)險(xiǎn)管理等內(nèi)容。第四部分為HF證券公司風(fēng)險(xiǎn)管理存在問題及原因分析。根據(jù)HF證券公司風(fēng)險(xiǎn)管理現(xiàn)狀,探討了 HF證券公司風(fēng)險(xiǎn)管理過程中存在的風(fēng)險(xiǎn)管理認(rèn)識(shí)不到位、風(fēng)險(xiǎn)管理人才隊(duì)伍建設(shè)滯后、風(fēng)險(xiǎn)管理工作流于形式等問題及背后的原因。第五部分為HF證券公司風(fēng)險(xiǎn)管理優(yōu)化建議。根據(jù)HF證券公司風(fēng)險(xiǎn)管理過程中暴露的問題,有針對(duì)性從風(fēng)險(xiǎn)管理制度生長土壤培育、風(fēng)險(xiǎn)管理人才隊(duì)伍建設(shè)、風(fēng)險(xiǎn)管理過程優(yōu)化等角度提出優(yōu)化HF證券公司風(fēng)險(xiǎn)管理策略。第六部分為全文總結(jié)。本研究的創(chuàng)新之處在于認(rèn)識(shí)和分析證券公司經(jīng)營業(yè)務(wù)復(fù)雜化,業(yè)務(wù)品種多元化,各個(gè)業(yè)務(wù)品種之間關(guān)聯(lián)緊密化基礎(chǔ)之上,從制度構(gòu)建,人才隊(duì)伍培育,管理過程優(yōu)化等三方面,結(jié)合證券公司所面臨的系統(tǒng)性風(fēng)險(xiǎn)和非系統(tǒng)性風(fēng)險(xiǎn),提出風(fēng)險(xiǎn)管理優(yōu)化思路,避免風(fēng)險(xiǎn)管理流于形式,顧此失彼,無法全面把控公司整體風(fēng)險(xiǎn)狀況的局面。
[Abstract]:The risk itself is not to be eliminated. What we can do is to minimize the risk and strengthen the risk management. The securities companies are the financial institutions that take the risk as the basis, participate in the financial market and occupy an important position. The risk management ability is the basis of the success or failure of the securities companies, and the nuclear companies are different from the general financial institutions. The global financial crisis caused by the American Wall Street subprime mortgage crisis in.2008 has made the world aware of the great disaster that the financial risk may bring again, followed by the high concern of the whole society for financial security for.2010 years. The outbreak of the European debt crisis is the nerve of the whole society and how to strengthen the financial risk. Management has become the core and focus problem in the financial field. In the financial field, securities companies have high risk characteristics. Because the operation of securities companies is based on their own business, it can effectively reduce and disperse the risk, thus obtaining the mode of remuneration. Therefore, it has a huge risk in the operation process. How to strengthen the securities company's wind? Risk management, which effectively reduces the operational risk of securities companies, has become the primary problem that the securities companies have to think and solve in order to develop orderly and healthy development. In addition, the innovation and development of the securities companies at the business level make the securities companies develop in a long way in terms of business income and market competitiveness, and objectively also to the risk management workers of the securities companies. More demands are made on.HF securities as a medium broker, moving from a local broker to a national broker, from a single brokerage business to a high speed development road,.2011-2013, with the gradual release of the industry regulatory policy and the gradual development of the financial market in China, HF securities have reformulated the company's hair. Development strategy, from the brokerage business based local securities business to cover investment banking business, self investment business, margin business, asset management business and other full license, national securities companies, and set up a fund subsidiary, direct subsidiary companies, alternative investment subsidiaries, in the country set up a new business department, the establishment of branch companies. Accompanying company. Accompanying company The development of the risk management department of HF securities company was established in 2013, mainly to meet the needs of the rapid development of the company's own business and the requirements of external supervision. But the actual operation results show that the depth and breadth of the risk management work of the company lags behind the business development. Under the three stress of the personal development requirement, it is necessary for HF securities company to build the risk management that is suitable for the development strategy of the company. Therefore, this paper analyzes the risk management status of the HF securities company from the perspective of risk management of HF securities company, and estimates the shortcomings and problems of the risk management of the securities company, and puts forward the pertinence to optimize the risk management. In the course of the study, this article is divided into six parts: the first part is the introduction, which mainly introduces the background and significance of the research, the research summary, the research content, the research method and the research innovation. The second part is the theoretical overview of the risk management, mainly discussing the risk management internal capacity, the risk management type of the securities company and the wind of our securities company. Three aspects of the development course of risk management. The third part is the analysis of the risk management status of HF securities company. It mainly introduces the organization structure of risk management of HF securities company, risk management system, risk management team, risk management report, risk management index system, business wind insurance management and so on. The fourth part is the wind of HF securities company. According to the present situation of risk management of HF securities company, this paper probes into the problems of risk management in the risk management process of HF securities company, the lag of the construction of risk management personnel, the flow of risk management in the form and the reasons behind it. The fifth part is the optimal risk management of the HF securities company. According to the problems exposed in the risk management process of HF securities company, the author proposes to optimize the risk management strategy of HF securities companies from the aspects of the growth of soil in the risk management system, the construction of risk management personnel and the optimization of the risk management process. The sixth part is the full text summary. The innovation of this study lies in the understanding and division of this research. An analysis is made on the three aspects, such as the complex operation of the securities company, the diversification of the business variety, the close association of various business varieties, the system construction, the cultivation of the talent team, the optimization of the management process, and the systematic and non systematic risks faced by the securities companies, and the optimization ideas of risk management are put forward to avoid the risk management. Form, take account of this and lose it, can not fully control the overall risk situation of the company.

【學(xué)位授予單位】：福建農(nóng)林大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F272.3;F832.39

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