光大证券公司风险管理体系的优化

发布时间：2018-04-18 15:19

本文选题：证券公司 + 风险应对　；参考：《广西大学》2014年硕士论文

【摘要】：风险无处不在,也无所不在,由于忽略风险或没有严格管理风险而导致的重大损失也时有发生。在经济全球化的背景下,我国各行各业的企业都在努力改善自身的经营管理以提高自身的国际竞争力,同时逐步建立完善的风险管理制度,增强抗风险的能力,以便降低风险事故所带来的损失,从而提高企业的应对危机能力和生存能力。对于证券公司来说,风险更是如影随形。我国证券公司的发展起步晚,在风险管理方面的理论研究以及实践经验不足,通过借鉴国外的先进管理经验和风险管理理念,近年来我国证券公司迅速发展的同时,各监管部门以及证券公司本身也在积极地探索并不断地完善风险管理规章制度和控制体系。从《证券法》的颁布与实施,到中国证监会制定《证券公司内部控制指引》,中国证券监督管理委员会审议通过的《证券公司风险控制指标管理办法》,再到2014年3月1日起施行的《证券公司全面风险管理规范》,无不体现了监管机构对证券公司内部风险管理的逐步完善和规范约束。本文以国内外学者对金融及证券行业风险管理方面的研究综述,以及证券监管机构制定的条例规范为依据,对证券公司的风险进行识别分析,再根据证券公司的各业务特点进行风险应对的理论阐述。本文以光大证券公司作为研究对象,对其目前的经营状况及公司组织架构和业务开展情况作了介绍,并重点对816乌龙指事件进行梳理,而后结合前文的风险管理和内部控制方面的理论,对光大证券公司的乌龙指事件所暴露出来的风险管理方面的缺陷进行详细分析,从而得出优化光大证券公司风险管理体系的基本原则,以及进一步加强风险管理文化建设,完善风险管理组织架构,并完善风险预警系统和加强信息系统风险管理等一系列建设性意见。
[Abstract]:Risk is ubiquitous and ubiquitous, and significant losses due to neglect or lack of strict risk management occur from time to time.Under the background of economic globalization, enterprises in various industries of our country are trying to improve their own management to improve their international competitiveness, at the same time, gradually establish a sound risk management system, enhance the ability to resist risks.In order to reduce the loss caused by risk accidents, and improve the ability of enterprises to cope with crisis and survival.For the securities companies, the risk is even more like a shadow.The development of securities companies in our country started late, the theoretical research and practical experience in risk management are not enough. By learning from the advanced management experience and risk management concept of foreign countries, the securities companies of our country have developed rapidly in recent years.The regulatory departments and the securities companies themselves are actively exploring and perfecting the risk management regulations and control systems.From the promulgation and implementation of the Securities Law,To the CSRC to formulate the "guidelines on Internal Control of Securities companies", the measures for the Management of risk Control indicators of Securities companies examined and approved by the China Securities Regulatory Commission, and the "Securities companies all" to come into effect on March 1, 2014The regulation of risk management reflects the gradual improvement and regulation of the internal risk management of securities companies.In this paper, the risk of securities companies is identified and analyzed based on the review of domestic and foreign scholars' research on risk management in finance and securities industry, as well as the regulations and norms formulated by securities regulatory bodies.Then according to the business characteristics of securities companies to deal with the risks of theoretical elaboration.This paper takes Everbright Securities Company as the research object, introduces its current management situation, organization structure and business development of the company, and focuses on combing the 816 Oolong finger incident.Then combined with the previous theories of risk management and internal control, the defects in risk management exposed by the Oolong finger incident of Everbright Securities Company were analyzed in detail.Thus, the basic principles of optimizing the risk management system of Everbright Securities Company are obtained, and the construction of risk management culture is further strengthened, and the organizational structure of risk management is improved.And perfect risk early warning system and strengthen information system risk management and a series of constructive suggestions.
【学位授予单位】：广西大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39

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