H证券公司经纪业务风险管理研究
发布时间：2019-06-18 12:49
【摘要】：近些年来,中国资本市场的跨越式发展给证券行业带来了很大的变化——证券公司经纪业务从单纯的通道制服务到金融产品的差异化竞争；从传统的柜台交易到网上、手机证券非现场交易；从“大锅饭”式的粗放营销到个性化的精准服务；从“赶鸭子上架”式的股票推荐到专业化、技术化的理财分析。这些变化也对证券公司的风险管理提出了更高的要求,经纪业务涉及的主体较多,环节复杂,证券经纪业务盈利风险来源较多,如何对风险控制继续盈利趋势,仍是一个较难解决的问题。 H证券公司是一家大型证券公司,在证券业监管评级中属于AA类券商,现拥有营业部218家,在经纪业务方面有一定的业务特色和市场影响,整个公司的主营收入也是传统经纪业务。但在快速发展的证券大军中,H证券公司也逐渐显露出一些问题：随着营业部数量的快速扩张,如何控制好网点风险管理；以及随着经纪业务创新产品的不断推出,给经纪业务风险管理带来了诸多难题。本文分析了H证券公司出现的操作风险、管理风险、技术风险以及营销风险,并给出了相应的改进措施。
[Abstract]:In recent years, the leapfrog development of China's capital market has brought great changes to the securities industry. The brokerage business of securities companies has changed from simple channel service to differential competition of financial products, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, and from "big pot rice" extensive marketing to personalized precision service. From the "catch duck on the shelves" type of stock recommendation to professional, technical financial analysis. These changes also put forward higher requirements for the risk management of securities companies. The brokerage business involves more subjects, the links are complex, and there are many sources of profit risk in the securities brokerage business. How to control the risk to continue the profit trend is still a difficult problem to solve. H Securities Company is a large securities company, which belongs to AA securities company in the supervision and rating of securities industry. It now has 218 business departments. It has certain business characteristics and market influence in brokerage business, and the main income of the whole company is also the traditional brokerage business. However, in the rapidly developing securities army, H securities companies have gradually revealed some problems: with the rapid expansion of the number of business departments, how to control the network risk management; and with the continuous introduction of innovative products in brokerage business, there are many problems for brokerage business risk management. This paper analyzes the operational risk, management risk, technical risk and marketing risk of H securities company, and gives the corresponding improvement measures.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.39
本文编号：2501501
[Abstract]:In recent years, the leapfrog development of China's capital market has brought great changes to the securities industry. The brokerage business of securities companies has changed from simple channel service to differential competition of financial products, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, from traditional counter trading to online, mobile securities off-site trading, from "big pot rice" extensive marketing to personalized precision service, and from "big pot rice" extensive marketing to personalized precision service. From the "catch duck on the shelves" type of stock recommendation to professional, technical financial analysis. These changes also put forward higher requirements for the risk management of securities companies. The brokerage business involves more subjects, the links are complex, and there are many sources of profit risk in the securities brokerage business. How to control the risk to continue the profit trend is still a difficult problem to solve. H Securities Company is a large securities company, which belongs to AA securities company in the supervision and rating of securities industry. It now has 218 business departments. It has certain business characteristics and market influence in brokerage business, and the main income of the whole company is also the traditional brokerage business. However, in the rapidly developing securities army, H securities companies have gradually revealed some problems: with the rapid expansion of the number of business departments, how to control the network risk management; and with the continuous introduction of innovative products in brokerage business, there are many problems for brokerage business risk management. This paper analyzes the operational risk, management risk, technical risk and marketing risk of H securities company, and gives the corresponding improvement measures.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.39
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