CC证券公司经纪业务风险控制及改进措施研究
发布时间：2019-01-03 21:41
【摘要】：在中国，证券行业仍然是一个年轻的新兴行业，从诞生至今，，也只不过走过了20多年的历程。随着证券行业的高速发展，风险也存在于证券公司的各个方面。对风险的管理、控制是券商在开展经营活动时中必须要思考的问题。目前，由于证券行业发展的不平衡，证券经纪业务从开始至今仍然是证券公司的主导业务，因其风险管理不善而导致券商被监管部门重组或直接关闭的事件在近几年时有发生。证券经纪业务风险管理越来越受到证券市场各方的重视，CC证券公司也不例外，经纪业务作为公司的重要基础业务，其收益一直占公司整体收益较大的占比。近几年，由于其它业务的发展，经纪业务占比虽有所下降，但仍达到30％左右。经纪业务开展的好坏，直接影响着公司的整体发展。 本文以CC证券公司经纪业务风险管理体系为研究对象，在充分学习、借鉴前人对风险管理研究和实践成果的基础上，通过风险管理理论、运管管理理论、原则监管理论，利用图表、数据、例证等数据资料，系统分析CC证券公司经纪业务风险及管理现状，研究评判其风险管理构成要素的完备性与有效性，分析其风险管理体系的优劣，总结其在风险管理上的得失，并进一步提出改进的对策建议。 本文分为五章内容。第一章绪论；第二章介绍本文研究风险管理的理论基础；第三章描述CC证券公司经纪业务面临风险的分类、管理现状及采取的措施；第四章描述了CC证券公司风险体系的优劣，提出改进意见；第五章为结论与展望，总结全文并提出风险管理还需注意的问题。 作者通过对CC证券公司经纪业务的风险管理体系进行系统研究，结合实际工作，力争做到在保证其经纪业务在风险可控的前提下，最大限度的支持经纪业务的开展。如何平衡风险与业务发展之间的关系，成为公司当前乃至今后的一个迫切的、长期的任务，也是一个需要长期研究的课题。
[Abstract]:In China, the securities industry is still a young emerging industry, from its birth to now, but also through more than 20 years of history. With the rapid development of securities industry, risks also exist in all aspects of securities companies. Risk management, control is the securities companies in the development of business activities must be considered. At present, due to the imbalance of the development of securities industry, securities brokerage business is still the dominant business of securities companies from the beginning to now. The risk management of securities brokerage business is paid more and more attention to by all parties in the securities market, and CC securities company is no exception. As an important basic business of a company, the income of brokerage business has always accounted for a large proportion of the company's overall income. In recent years, because of the development of other businesses, the proportion of brokerage business has declined, but still reach about 30%. Good or bad brokerage business, directly affect the overall development of the company. This paper takes the risk management system of brokerage business of CC securities company as the research object, on the basis of fully studying and drawing lessons from the previous research and practice of risk management, through the theory of risk management, the theory of transport management, the theory of principle supervision. With the help of charts, data, examples and other data, this paper systematically analyzes the risk and management status of brokerage business of CC Securities Company, studies and evaluates the completeness and effectiveness of its risk management elements, and analyzes the merits and demerits of its risk management system. This paper summarizes its gain and loss in risk management, and puts forward some countermeasures and suggestions for further improvement. This paper is divided into five chapters. The first chapter is the introduction, the second chapter introduces the theoretical basis of the research on risk management, the third chapter describes the classification of the risk faced by the brokerage business of CC securities company, the current management situation and the measures to be taken; The fourth chapter describes the advantages and disadvantages of the risk system of CC securities companies, and puts forward some suggestions for improvement. Chapter five is the conclusion and prospect, summarizes the full text and puts forward the problems that should be paid attention to in the risk management. Through the systematic research on the risk management system of brokerage business of CC Securities Company, combining with the actual work, the author tries to support the development of brokerage business to the maximum extent under the premise of ensuring that the brokerage business is under the control of risk. How to balance the relationship between risk and business development has become an urgent and long-term task for the company at present and in the future.
【学位授予单位】：天津大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39
本文编号：2399903
[Abstract]:In China, the securities industry is still a young emerging industry, from its birth to now, but also through more than 20 years of history. With the rapid development of securities industry, risks also exist in all aspects of securities companies. Risk management, control is the securities companies in the development of business activities must be considered. At present, due to the imbalance of the development of securities industry, securities brokerage business is still the dominant business of securities companies from the beginning to now. The risk management of securities brokerage business is paid more and more attention to by all parties in the securities market, and CC securities company is no exception. As an important basic business of a company, the income of brokerage business has always accounted for a large proportion of the company's overall income. In recent years, because of the development of other businesses, the proportion of brokerage business has declined, but still reach about 30%. Good or bad brokerage business, directly affect the overall development of the company. This paper takes the risk management system of brokerage business of CC securities company as the research object, on the basis of fully studying and drawing lessons from the previous research and practice of risk management, through the theory of risk management, the theory of transport management, the theory of principle supervision. With the help of charts, data, examples and other data, this paper systematically analyzes the risk and management status of brokerage business of CC Securities Company, studies and evaluates the completeness and effectiveness of its risk management elements, and analyzes the merits and demerits of its risk management system. This paper summarizes its gain and loss in risk management, and puts forward some countermeasures and suggestions for further improvement. This paper is divided into five chapters. The first chapter is the introduction, the second chapter introduces the theoretical basis of the research on risk management, the third chapter describes the classification of the risk faced by the brokerage business of CC securities company, the current management situation and the measures to be taken; The fourth chapter describes the advantages and disadvantages of the risk system of CC securities companies, and puts forward some suggestions for improvement. Chapter five is the conclusion and prospect, summarizes the full text and puts forward the problems that should be paid attention to in the risk management. Through the systematic research on the risk management system of brokerage business of CC Securities Company, combining with the actual work, the author tries to support the development of brokerage business to the maximum extent under the premise of ensuring that the brokerage business is under the control of risk. How to balance the relationship between risk and business development has become an urgent and long-term task for the company at present and in the future.
【学位授予单位】：天津大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39
【参考文献】
相关期刊论文 前1条
1 王梦婕;;结合新巴塞尔协议浅议我国商业银行操作风险的管理[J];商场现代化;2011年34期
本文编号：2399903
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