方正证券经纪业务风险管理研究

发布时间：2018-05-18 19:13

本文选题：证券经纪业务 + 风险管理　；参考：《湘潭大学》2012年硕士论文

【摘要】：随着我国金融市场的不断开放和向前发展，证券行业也随之兴旺起来。证券经纪业务是目前我国证券市场上的主导业务，证券经纪业务风险管理受到社会各界越来越高的重视。经纪业务作为方正证券公司最重要的基础业务，其收益占公司总收益的比重很大，近几年来均超过50％，而随着业务量的不断扩大，在证券经纪业务中潜在的风险也越来越高。经纪业务的成败，，严重影响公司的总体发展。因此，为使公司健康稳定的发展，本文在对方正证券公司在开展证券经纪业务时涉及到风险管理方面的问题进行了梳理，基于发现的问题对如何管理方正证券的经纪业务风险做了深入的研究。本文首先进行了基本概念的界定，同时在分析风险管理相关理论的基础上简单的从产生、发展及其在国内的发展环境方面对证券公司经纪业务进行介绍。接着重点剖析了方正证券公司的经纪业务发展历程和现状，并对方正证券公司的经纪业务风险表现和目前公司的经纪业务风险管理情况进行深入的分析。用图表法列出方正证券在经纪业务中存在的风险种类，同时运用对比法审视方正证券在证券经纪业务风险管理方面的不足。从而梳理了方正证券在经纪业务风险管理方面存在的问题：其一，经纪业务扩张速度过快，难以控制经纪业务风险；其二，内部控制不完善，未建立高效的风险管理组织结构；其三，缺少对外交流，缺乏外部监管；其四，风险控制意识薄弱，忽视风险控制。针对在方正证券经纪业务风险管理方面发现的问题，本文从控制营业部扩张速度，加强内部业务人员交流；创造有利于风险管理有效运转的内部环境，加大内部控制力度；加强对外交流，引进外部监管以及培育诚信为本、合规优先的公司文化，提高员工风险控制意识等四个方面对方正证券的经纪业务风险管理提出改进建议。本文仅仅针对方正证券公司自身证券经纪业务所面临的风险管理中的不足提出完善控制管理的措施，未能从经济、金融等方面来宏观的看待这个问题，这方面还有待我们进一步深入研究。
[Abstract]:With the continuous opening and development of our financial market, the securities industry has also flourished. The securities brokerage business is the leading business in the securities market in our country at present. The risk management of the securities brokerage business is paid more and more attention by the society. Brokerage business is the most important basic business of Fangzheng Securities Company, and its income accounts for a large proportion of the total income of the company. In recent years, it has exceeded 50%, but with the continuous expansion of business, the potential risk in securities brokerage business is becoming higher and higher. The success or failure of brokerage business seriously affects the overall development of the company. Therefore, in order to ensure the healthy and stable development of the company, this paper combs the problems of risk management in the development of securities brokerage business. Based on the discovered problems, how to manage the brokerage risk of Fangzheng Securities is studied deeply. This paper firstly defines the basic concepts and introduces the brokerage business of securities companies from the aspects of emergence, development and the domestic development environment on the basis of analyzing the related theories of risk management. Then it analyzes the history and present situation of the brokerage business of Fangzheng Securities Company, and analyzes the risk performance of brokerage business and the risk management of brokerage business. This paper lists the risk types of Fangzheng Securities in brokerage business by using chart method, and examines the deficiency of Fangzheng Securities in risk management of securities brokerage business by using comparative method. This paper combs the problems in the risk management of brokerage business in Fangzheng Securities: firstly, the expansion of brokerage business is too fast to control the risk of brokerage business, secondly, the internal control is not perfect, and the efficient risk management organization structure is not established. Third, lack of external communication, lack of external supervision; fourth, weak awareness of risk control, ignore risk control. In view of the problems found in the risk management of Fangzheng securities brokerage business, this paper aims at controlling the expansion speed of the business department, strengthening the exchange of internal business personnel, creating an internal environment conducive to the effective operation of risk management, and strengthening the internal control. Four aspects, such as strengthening foreign exchange, introducing external supervision, cultivating the company culture of honesty and credit, giving priority to compliance, and raising the awareness of employee risk control, put forward some suggestions for improving the risk management of brokerage business in each other's securities. This paper only aims at the deficiency of risk management in the securities brokerage business of Fang Zheng Securities Company, and puts forward some measures to perfect the control management, and fails to look at this problem macroscopically from the aspects of economy and finance. This aspect still needs our further research.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.39

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