恒泰证券公司投资银行IPO业务风险控制研究

发布时间：2018-05-28 21:41

本文选题：投资银行 + IPO业务　；参考：《内蒙古大学》2012年硕士论文

【摘要】：随着我国证券市场的逐步成熟与完善,IPO业务呈现出快速发展的趋势。在业务高速发展的情况下,中国证券监督管理委员会的监管力度进一步加大,市场透明度进一步增强,如果不相应提高对风险管理的重视程度,风险发生的概率将大幅提升,一旦爆发,将严重影响品牌声誉,不论对业务本身还是所属公司都将是沉重的打击。另一方面,恒泰证券公司投资银行作为经营风险的金融机构,风险管理水平的高低也是衡量核心竞争力的重要指标之一。鉴于此,恒泰证券公司投资银行加强IPO业务的风险管理是必要、迫切的,对IPO业务风险管理的研究无论在实践中还是在理论上具有重要意义。论文从IPO业务宏观管理环境与业务流程风险控制两个角度研究恒泰证券公司投资银行IPO业务的风险情况,使用影响IPO业务宏观环境的七个要素及COSO报告内控理论进行分析检验,并提出解决方案,目的是提高IPO业务的项目成功率和风险管理水平。全文分为五章：第一章为绪论,主要介绍选题背景及意义；论文的研究方法路径及手段；论文的框架结构。第二章主要介绍恒泰证券公司概况；投资银行及IPO业务简介；IPO业务的主要宏观影响因素及风险事项；IPO业务流程风险。第三章主要介绍COSO报告内控框架；IPO业务外部环境情况分析及IPO业务内部控制分析。第四章主要介绍恒泰证券公司投资银行IPO业务存在问题及改进建议。第五章为论文的结论与展望。通过对IPO业务风险控制的深入研究,本文得出两个主要结论： 1、目前恒泰证券公司,甚至是我国整个投资银行IPO业务风险控制注重的都是静态的风险管理,忽视了动态风险管理,没有充分认识到外部环境变动的重要性,本文认为应特别加强IPO业务动态风险管理,时刻关注监管重点与风险防范的重点变化,跟得上监管的脚步,这是提高项目成功率的有效措施。 2、恒泰证券公司投资银行IPO业务最根本的问题是管理者与从业者大多是站在相互信任的基础上实施风险管理。使得内控理论的运用大打折扣。
[Abstract]:With the maturation and perfection of China's securities market, IPO business is developing rapidly. With the rapid development of business, the supervision of the China Securities Regulatory Commission has been further strengthened, and the transparency of the market has been further enhanced. If the degree of emphasis on risk management is not correspondingly increased, the probability of the occurrence of risks will be greatly increased. Once the outbreak, will seriously affect the brand reputation, both the business itself and the company will be a heavy blow. On the other hand, the investment bank of Hengtai Securities Company is one of the important indexes to measure the core competitiveness. In view of this, it is necessary and urgent for the investment bank of Hengtai Securities Company to strengthen the risk management of IPO business. The research on the risk management of IPO business is of great significance both in practice and in theory. This paper studies the risk of IPO business of Hengtai Securities Company from two angles of IPO business macro management environment and business process risk control. It uses seven factors that affect the macro environment of IPO business and the internal control theory of COSO report to analyze and test it. The purpose of this paper is to improve the project success rate and risk management level of IPO business. The thesis is divided into five chapters: the first chapter is the introduction, which mainly introduces the background and significance of the topic, the research methods and means, and the frame structure of the thesis. The second chapter mainly introduces the general situation of Hengtai Securities Company, the investment bank and the IPO business brief introduction, the main macroscopic influence factor and the risk item of the IPO business process risk. The third chapter mainly introduces the analysis of the external environment of COSO internal control framework and the analysis of IPO internal control. The fourth chapter mainly introduces the existing problems and improvement suggestions of Hengtai Securities Investment Bank's IPO business. The fifth chapter is the conclusion and prospect of the thesis. Through the in-depth study of IPO business risk control, this paper draws two main conclusions: 1. At present, Hengtai Securities Company, even the whole investment bank IPO business risk control pays attention to the static risk management, neglects the dynamic risk management, does not fully realize the importance of the external environment change. This paper holds that the dynamic risk management of IPO business should be strengthened, and the key points of supervision and risk prevention should be paid close attention to, so as to keep up with the steps of supervision, which is an effective measure to improve the success rate of projects. 2, the most fundamental problem of the investment bank IPO business of Hengtai Securities Company is that most managers and practitioners carry out risk management on the basis of mutual trust. The application of internal control theory is greatly reduced.
【学位授予单位】：内蒙古大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51;F224

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