期货公司资产管理业务操作风险管理体系建设研究

发布时间：2018-06-21 02:09

本文选题：期货公司 + 资产管理　；参考：《苏州大学》2013年硕士论文

【摘要】：随着期货公司资产管理业务的推出，该业务成为中国现代金融市场，特别是期货交易市场的新兴产品。由于期货资产管理产品投资范围广，交易灵活，杠杆较普通投资理财产品大，风险更高，于是对其的监管，，以及风险控制就是关于期货市场稳定的一个重要的举措，引起了社会各界对期投资方面风险管理研究的高度关注。本文研究的主要内容如下：首先，对论文研究内容有关理论的实际情况进行了简要说明；其次，对于操作风险管理历史进行了总结和概括，同时对于相关的理论进行概括总结；其三，对于期货投资行业操作风险管理的现状进行了总结，提出当前我国期货投资行业中操作风险管理方面存在的问题，并通过案例对于当前的问题进行说明，然后对期货公司开展资产管理业务存在的操作风险点进行了概括；其四，描述了国外期货资产管理业务操作风险管理体系的现状并例举加拿大的操作风险管理方法体系；其五，通过理论分析和借鉴国外经验的基础上，尝试建立对我国期货公司资产管理业务操作风险管理体系，主要从确立操作风险管理体系建设的目标及原则、完善操作风险管理框架、建立操作风险管理方法和操作风险管理实施流程等方面进行叙述；最后对论文进行了总结和以后的发展进行了展望。
[Abstract]:With the introduction of the asset management business of futures companies, this business has become a new product in China's modern financial market, especially in futures trading market. As futures asset management products have a wide range of investments, flexible trading, greater leverage than ordinary investment and financial management products, and higher risks, the supervision and risk control of futures asset management products is an important measure for the stability of the futures market. Has aroused the social all circles to the period investment aspect risk management research high attention. The main contents of this paper are as follows: firstly, the actual situation of the relevant theories is briefly explained; secondly, the history of operational risk management is summarized, and the relevant theories are summarized. Third, the paper summarizes the current situation of operational risk management in futures investment industry, and points out the existing problems of operational risk management in China's futures investment industry, and explains the current problems through a case study. Then it generalizes the operational risk points of the futures company's asset management business. Fourthly, it describes the current situation of the foreign futures asset management operational risk management system and gives an example of the Canadian operational risk management method system. On the basis of theoretical analysis and foreign experience, this paper tries to establish the operational risk management system for the asset management business of China's futures companies, mainly from establishing the objectives and principles of the construction of the operational risk management system and perfecting the operational risk management framework. The establishment of operational risk management methods and operational risk management implementation process are described. Finally, the paper is summarized and the future development is prospected.
【学位授予单位】：苏州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39;F272.3

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