华融证券投行业务风险管理研究

发布时间：2019-03-31 00:38

【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。投行业务作为华融证券的重要板块,对提升华融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,通过对华融证券投行业务的现状、问题进行分析,提出改善华融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,对华融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,本文对华融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。最后本文提出了华融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。本文通过比较分析法,对华融证券投行业务的风险进行了比较研究,多角度加以归纳总结,将风险管理理念与投行业务操作实务相融合,深入讨论分析,总结风险管理防控策略,在注重理论研究的同时,也体现出了一定的实际应用价值,不仅可以丰富风险管理的理论,对我国的一些证券公司在具体实务操作管理等方面也具有十分重要的借鉴及指导意义。
[Abstract]:At present, the global economy is still in turmoil, compared with before the financial crisis, the development of investment banking industry is facing a great challenge, strengthening risk management has become an important means to ensure the sound operation of investment banking business. As an important part of Huarong Securities, investment banking plays an important role in promoting the strength and competitiveness of Huarong Securities. Starting from the basic theory of investment bank and risk management, this paper analyzes the current situation and problems of Huarong Securities Investment Bank, and puts forward some measures to improve the risk management level of Huarong Securities Investment Bank. It plays a certain reference role for the risk management development of investment banking business of securities companies in China. Firstly, this paper studies the status quo of investment banking risk management at home and abroad, and summarizes the relevant theories involved in this paper. On this basis, this paper analyzes the current situation of risk management of Huarong Securities, including the establishment of risk management institutions, the risk management index system and so on, and analyzes the existing problems. On the basis of the analysis of the problems, this paper constructs the risk control system of Huarong Securities Investment Bank, including the establishment of the objectives, the specific construction measures of the main links, and so on. Finally, this paper puts forward the safeguard measures to strengthen the risk management of Huarong Securities, including actively absorbing the concept and experience of foreign investment banking business risk management, enhancing the training of talents, including the establishment of a complete salary and welfare system, The system and long-term cultivation of talents, the expansion of the scale of capital to enhance the strength of risk defense, the establishment of a new concept of development risk early-warning mechanism to deal with the relationship between risk management and enterprise development and so on. Through the method of comparative analysis, this paper makes a comparative study on the risk of Huarong securities investment banking business, summarizes it from many angles, merges the concept of risk management with the operational practice of investment banking business, and deeply discusses and analyzes the risk management concept. Summing up the prevention and control strategy of risk management, while paying attention to the theoretical research, it also shows a certain practical application value, which not only enriches the theory of risk management, It also has very important reference and instructive significance to some securities companies in our country in the concrete practice operation management and so on.
【学位授予单位】：湖南大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：F832.2

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