海洋经济区产业投资基金全面风险管理研究

发布时间：2017-12-31 10:00

本文关键词：海洋经济区产业投资基金全面风险管理研究　出处：《山东大学》2014年硕士论文　论文类型：学位论文

【摘要】：产业投资基金在我国起步较晚,规模不一,行业成熟度不是很高,在理论研究上,尤其是在全面风险管理方面,可用指导实践工作的成果不是很多,欠缺更多。实践中,风险管理在银行、保险公司等金融机构中有相对成熟的体系,除此外的其它各类企业中,风险管理意识及全面风险管理体系的建立与应用仍处于初级阶段,产业投资基金的风险管理更是存在着严重的不足。本文以海洋经济区产业投资基金(以下简称海洋基金)的全面风险管理为研究对象,结合海洋基金管理公司(以下简称HY公司)全面风险管理的现状和存在的问题,提出建立适合于海洋基金的全面风险管理体系。本文采用文献研究法、案例研究法和问卷调查法,在文献梳理的基础上,首先进行了关键概念界定,归纳了基金的特点；然后本研究以海洋基金为研究对象,介绍了海洋基金的运营模式,描述了海洋基金在整体层面和具体操作过程中的风险管理体现状,结合COSO框架的八个方面,对海洋基金在风险管理方面存在的问题做了评估。根据评估结果,海洋基金存在五个方面的主要风险：第一、治理结构不完善,内部管理不规范；第二、人力资源体系有欠缺,尤其在优秀人才流失方面存在较大风险；第三、战略目标不明确,经营目标不清晰；第四、风险管理独立性不够,风险控制能力较弱；第五、内部沟通不流畅,管理层与经营层信息交流上脱节。根据前述问题,本研究针对海洋基金现有的问题及其特有属性,提出了海洋基金全面风险管理体系。该体系从建立体系的目标出发,提出了建立体系的八项基本原则,梳理了公司各个部门及具体业务流程中存在的主要风险点及风险成因,并提出了全面风险管理体系中风险评价和风险应对系统,最后建立了海洋基金全面风险管理体系的信息沟通体制和监控机制。综上所述,本研究丰富了全面风险管理及产业投资基金的研究领域和研究内容,对海洋基金的良好运营和其他产业投资基金的操作提供了实践经验借鉴。
[Abstract]:The industrial investment fund starts late in our country, the scale is different, the industry maturity is not very high, in the theory research, especially in the comprehensive risk management aspect, may guide the practice work the achievement is not many. Lack of more. In practice, risk management in banks, insurance companies and other financial institutions have a relatively mature system, except for other types of enterprises. The establishment and application of risk management consciousness and comprehensive risk management system are still in the primary stage. The risk management of the industrial investment fund is even more serious. This paper takes the overall risk management of the industrial investment fund of the marine economic zone (hereinafter referred to as the ocean fund) as the research object. Combined with the present situation and existing problems of the overall risk management of Ocean Fund Management Company (HY Company), a comprehensive risk management system suitable for ocean fund is proposed. Based on the literature research, case study and questionnaire survey, this paper firstly defines the key concepts and summarizes the characteristics of the fund. Then this study takes the ocean fund as the research object, introduces the operating mode of the ocean fund, describes the current situation of the risk management system of the ocean fund in the overall level and the concrete operation process. Combined with the eight aspects of the COSO framework, this paper evaluates the problems in the risk management of the ocean fund. According to the evaluation results, there are five main risks in the ocean fund: first, the governance structure is not perfect. Internal management is not standardized; Second, the human resources system is deficient, especially in the loss of outstanding talents there is a greater risk; Third, the strategic goal is not clear, the management goal is not clear; 4th, the risk management independence is not enough, the risk control ability is weak; 5th, the internal communication is not smooth, the management and the management level information exchange disconnect. According to the above question, this research aims at the ocean fund existing question and its characteristic attribute. This paper puts forward a comprehensive risk management system of ocean fund, which starts from the goal of establishing the system, and puts forward eight basic principles of establishing the system. Combing the main risk points and risk causes in various departments and specific business processes of the company, and putting forward the risk evaluation and risk response system in the overall risk management system. Finally, the information communication system and monitoring mechanism of the comprehensive risk management system of ocean fund are established. To sum up, this study enriches the research field and research contents of comprehensive risk management and industrial investment funds, and provides practical experience for the good operation of ocean funds and the operation of other industrial investment funds.
【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F272.3;F832.51

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