MK期货经纪有限公司风险控制研究

发布时间：2018-02-20 05:41

本文关键词： 期货公司风险分析风险控制　出处：《西北大学》2013年硕士论文　论文类型：学位论文

【摘要】：期货市场是一个高风险的市场,期货公司作为市场中介在运营的过程中会面临着巨大的风险。随着国内期货市场的不断发展和完善,各期货公司的风险控制意识和能力都有所提高,但仍然不能满足新形势下期货行业快速发展的客观要求,现有的风险控制体系还存在许多需要改进的地方。本文研究的是MK期货经纪有限公司现有的风险控制体系。论文首先介绍了我国期货行业的发展状况,说明了期货公司在当前市场环境下加强风险控制的重要性。同时,对比国外期货公司的风险控制情况,给国内期货公司风险控制流程设计进行参考。其次,论文根据风险控制流程的相关理论,对MK期货经纪有限公司目前的业务流程进行了梳理,找到了其中各个环节主要的风险点,并分析了当前风险控制过程当中存在的缺陷和问题,在此基础上,根据风险控制理论,运用比较分析法和定性与定量分析相结合的方法,从公司治理、组织结构、主要业务流程和制度建设等方面对MK期货公司现有的风险控制流程进行了优化,针对当前业务环节当中的主要风险点有针对性地设计了风险控制方案及措施,进一步完善了公司的风险控制体系。本文利用风险控制相关理论,联系期货公司经营管理的现状,通过对其业务流程的梳理和分析,得出一些结论,对其他期货公司风险控制流程的进一步完善也能起到一些借鉴的作用。
[Abstract]:Futures market is a high-risk market, futures companies as a market intermediary in the operation of the process will face a huge risk. With the continuous development and improvement of the domestic futures market, The risk control consciousness and ability of the futures companies have been improved, but they still can not meet the objective requirements of the rapid development of the futures industry under the new situation. The existing risk control system still needs to be improved. This paper studies the existing risk control system of MK Futures Brokerage Co., Ltd. The paper first introduces the development of futures industry in China, and explains the importance of strengthening risk control in the current market environment. At the same time, compared with the risk control situation of foreign futures companies, Secondly, according to the relevant theory of risk control process, the paper combs the current business process of MK Futures Brokerage Co., Ltd. The main risk points of each link are found, and the defects and problems in the current risk control process are analyzed. On this basis, according to the risk control theory, the method of comparative analysis and qualitative and quantitative analysis is used. From the aspects of corporate governance, organizational structure, main business process and system construction, this paper optimizes the existing risk control process of MK Futures Company. Aiming at the main risk points in the current business links, the paper designs the risk control scheme and measures, and further improves the risk control system of the company. Based on the theory of risk control and the current situation of futures company's operation and management, this paper draws some conclusions by combing and analyzing its business process. Other futures companies to further improve the risk control process can also play some reference role.
【学位授予单位】：西北大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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