国元证券股份有限公司风险管理研究

发布时间：2018-04-14 16:10

本文选题：证券公司 + 风险管理　；参考：《中国海洋大学》2015年硕士论文

【摘要】：作为现代金融业最重要的市场主体之一,证券公司在国际国内的经济的发展中扮演着至关重要的角色。在我国,证券公司同时也被公认为高风险的行业,特别是近年来在创新发展中暴露出更多的风险和隐患。国元证券股份有限公司的风险管理带宵大部分国内证券公司风险管理的鲜明特征,其风险管理既有成功之处,也存在着问题和不足。本文立足于国元证券股份有限公司风险管理现状开展研究。本文首先阐述了选题背景、国内外研究现状、研究思路与方法、研究内容与技术路线、论文创新之处。然后,对理论的理论基础进行了阐述。接着,对闯元证券股份有限公司简介及经营情况进行简要介绍,分析国元证券股份有限公司风险管理现状,分析其存在的问题。其后,构建了国元证券股份有限公司风险管理指标体系。继而,优化了国元证券股份有限公司风险管理组织体系、内控体系、保障体系。最后,对论文研究的成果进行总结,并展望进一步研究方向。本文主要的创新点为：采用案例分析法,对国元证券股份有限公司的风险管理进行全面而深入的研究,充分查找该公司风险管理各方面资料,结合作者在国元证券股份有限公司工作经历,分析因元证券股份有限公司风险管理的现状和存在的问题,为该公司构建风险管理指标体系,并提出组织、内控、保障等风险管理体系的优化措施,确保查找问题全面、深入,对应措施可行、有效。本文的研究将对国元证券股份有限公司提高风险管理水平起到参考作用,对其他金融机构也町起到积极的借鉴作用。
[Abstract]:As one of the most important market players in modern financial industry, securities companies play a vital role in the development of international and domestic economy.In China, securities companies are also recognized as high-risk industries, especially in recent years in the development of innovation exposed more risks and hidden dangers.The risk management of Guoyuan Securities Co., Ltd. has the distinct characteristics of risk management of most domestic securities companies. Its risk management has not only been successful, but also has problems and shortcomings.This paper is based on Guoyuan Securities Co., Ltd. risk management status quo to carry out research.This paper first describes the background of the topic, domestic and foreign research status, research ideas and methods, research content and technical route, the innovation of the paper.Then, the theoretical basis of the theory is expounded.Then, the brief introduction and management of Chuanyuan Securities Co., Ltd. are introduced, and the present situation of risk management of Guoyuan Securities Co., Ltd is analyzed, and the existing problems are analyzed.Subsequently, the paper constructs the risk management index system of Guoyuan Securities Co., Ltd.Then, the risk management system, internal control system and security system of Guoyuan Securities Co., Ltd are optimized.Finally, the paper summarizes the research results and prospects for further research direction.The main innovation points of this paper are as follows: adopt the case analysis method, carry on the comprehensive and thorough research to the risk management of Guoyuan Securities Co., Ltd., and find out all aspects of the risk management information of the company.Based on the author's working experience in Guoyuan Securities Co., Ltd., this paper analyzes the present situation and existing problems of risk management in Guoyuan Securities Co., Ltd., sets up a risk management index system for the company, and puts forward organization and internal control.The optimization measures of risk management system, such as guarantee, ensure that the problem finding is comprehensive, thorough, and the corresponding measures are feasible and effective.The research in this paper will play a reference role in improving the risk management level of Guoyuan Securities Co., Ltd., as well as other financial institutions.
【学位授予单位】：中国海洋大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：F832.39;F272.3

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