中信证券投行业务风险管理研究
发布时间：2018-09-10 07:41
【摘要】：目前全球经济仍然处于动荡之中,与金融危机之前相比,投资银行行业的发展面临着很大的挑战,加强风险管理成为保障投行业务稳健运营的重要手段。中信证券是我国证券公司的龙头企业,投行业务作为中信证券的重要板块,对提升中信证券的实力和竞争力起着重要作用。本文从投资银行和风险管理的基本理论出发,通过对中信证券投行业务的现状、问题进行分析,提出改善中信证券投行业务风险管理水平的措施,为我国证券公司投行业务的风险管理发展起到一定的参考作用。 本文首先对投行业务风险管理的国内外相关研究现状进行了研究,并总结与归纳了本文所涉及的相关理论。在此基础上,对中信证券的风险管理现状进行了分析,包括风险管理机构设置,风险管理指标体系等,并对其中存在的问题进行了分析。在对问题进行分析的基础上,本文对中信证券投行业务风险的控制体系进行了构建,包括建立目标,各主要环节的具体建设措施等。最后本文提出了中信证券加强风险管理的保障措施,包括积极吸取国外投行业务风险管理的理念与经验,加大人才培养力度,包括建立完备的薪酬、福利体系,人才培养制度化和长期化,扩大资本规模以提升风险抵御实力,树立新的发展理念构建风险预警机制处理好风险管理与企业发展的关系等几个方面。
[Abstract]:At present, the global economy is still in turmoil. Compared with before the financial crisis, the development of the investment banking industry is facing great challenges. Strengthening risk management has become an important means to ensure the sound operation of investment banking business. CITIC Securities is the leading enterprise of China's securities companies. As an important part of CITIC Securities, investment banking plays an important role in enhancing the strength and competitiveness of CITIC Securities. Based on the basic theory of investment banking and risk management, this paper analyzes the present situation and problems of CITIC Securities Investment Bank, and puts forward some measures to improve the risk management level of CITIC Securities Investment Bank. It will play a certain reference role in the development of risk management of investment banking business of securities companies in China. Firstly, this paper studies the current situation of investment banking risk management at home and abroad, and summarizes the relevant theories involved in this paper. On this basis, the present situation of risk management of CITIC Securities is analyzed, including the setting of risk management organization and the index system of risk management, and the existing problems are analyzed. Based on the analysis of the problems, this paper constructs the risk control system of CITIC Securities Investment Bank, including the establishment of objectives, the specific construction measures of the main links, and so on. Finally, the paper puts forward the guarantee measures to strengthen the risk management of CITIC Securities, including actively absorbing the concept and experience of risk management in foreign investment banking business, increasing the strength of personnel training, including establishing a complete salary and welfare system. Personnel training is institutionalized and long-term, capital scale is expanded to enhance the strength of risk resistance, new development concept is set up, risk warning mechanism is constructed to deal with the relationship between risk management and enterprise development, and so on.
【学位授予单位】：中南大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.39
本文编号：2233811
[Abstract]:At present, the global economy is still in turmoil. Compared with before the financial crisis, the development of the investment banking industry is facing great challenges. Strengthening risk management has become an important means to ensure the sound operation of investment banking business. CITIC Securities is the leading enterprise of China's securities companies. As an important part of CITIC Securities, investment banking plays an important role in enhancing the strength and competitiveness of CITIC Securities. Based on the basic theory of investment banking and risk management, this paper analyzes the present situation and problems of CITIC Securities Investment Bank, and puts forward some measures to improve the risk management level of CITIC Securities Investment Bank. It will play a certain reference role in the development of risk management of investment banking business of securities companies in China. Firstly, this paper studies the current situation of investment banking risk management at home and abroad, and summarizes the relevant theories involved in this paper. On this basis, the present situation of risk management of CITIC Securities is analyzed, including the setting of risk management organization and the index system of risk management, and the existing problems are analyzed. Based on the analysis of the problems, this paper constructs the risk control system of CITIC Securities Investment Bank, including the establishment of objectives, the specific construction measures of the main links, and so on. Finally, the paper puts forward the guarantee measures to strengthen the risk management of CITIC Securities, including actively absorbing the concept and experience of risk management in foreign investment banking business, increasing the strength of personnel training, including establishing a complete salary and welfare system. Personnel training is institutionalized and long-term, capital scale is expanded to enhance the strength of risk resistance, new development concept is set up, risk warning mechanism is constructed to deal with the relationship between risk management and enterprise development, and so on.
【学位授予单位】：中南大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.39
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