W公司证券投资业务风险管理方案优化研究

发布时间：2018-09-06 07:29

【摘要】：证券市场是国家经济不断发展的重要组成部分,放眼世界经济大发达国家在发展过程中,证券市场的成熟与否决定着这个国家的经济情况。中国的证券市场目前正处于高速发展的时期,并且证券投资是资本市场发展中不可缺少的重要动力之一,证券市场有着高风险的特征,这个特征决定了证券公司在证券投资活动中要承担很多风险。因此,对证券公司投资业务进行风险管理就显得尤为重要。本文在充分分析证券投资业务风险管理流程的基础上,为W公司证券投资业务提出风险管理方案优化设计,为W公司的证券投资业务风险管理提供指导借鉴。本文对W公司证券投资业务风险管理方案中存在的问题进行分析,对W公司证券投资业务风险管理方案进行优化设计,同时提出了W公司证券投资业务风险管理优化方案实施的保障措施。具体内容包括:第1章绪论部分介绍了本文的研究背景及意义,对证券投资业务风险管理的研究现状进行综述,阐述本文的研究内容、方法及框架;第2章介绍了本文的相关研究的理论基础,包括风险的概念及特点、风险管理的概念及过程、风险识别及评估的方法以及优化理论等,奠定了本文研究的理论基础;第3章对W公司及其证券投资业务进行简介,并对W公司证券投资业务中存在的风险进行介绍。第4章对W公司证券投资业务风险管理现有方案存在的问题进行分析,介绍W公司证券投资业务现有风险管理方案,对方案中和风险管理组织、风险管理流程及风险管理方法存在的问题进行分析。对W公司证券投资业务风险管理现存的问题及原因进行分析后,就引出了本文第5章的内容,对W公司证券投资业务风险管理方案的优化设计。根据第4章分析出的W公司证券投资业务风险管理存在的问题及原因,为W公司证券投资业务风险管理方案进行优化设计,其中方案优化的内容包括:W公司证券投资业务风险管理方案的优化目标和原则、W公司证券投资业务风险管理组织优化、风险管理流程优化及风险管理方法优化。第6章提出W公司证券投资业务风险管理优化方案实施保障措施:提高证券决策者的风险控制意识、完善公司内部管理制度、推动信息化建设、培养和引进风险管理人才以及加强风险管理文化建设等。本文对W公司证券投资业务风险管理方案中存在的问题进行研究,并深入分析了W公司证券投资业务风险管理组织、风险管理流程及风险管理方法存在的问题及原因,结合风险管理的相关理论,根据W公司证券投资业务的实际情况,为W公司证券投资业务风险管理方案进行优化设计,并提出方案优化实施的保障措施。希望本文的研究可以提高W公司证券投资业务的风险管理水平,提高企业在整个证券投资市场上的整体竞争力,同时也希望本文的研究成果可以为同类型证券公司提供一定的参考。
[Abstract]:The securities market is an important part of the national economy. In the process of the development of the developed countries, the maturity of the securities market determines the economic situation of this country. China's securities market is in a period of rapid development, and securities investment is an indispensable driving force in the development of the capital market. The securities market is characterized by high risk. This characteristic determines that securities companies have to bear a lot of risks in their securities investment activities. Therefore, it is particularly important to carry out risk management for the investment business of securities companies. On the basis of fully analyzing the risk management process of securities investment business, this paper puts forward the optimization design of risk management scheme for W company's securities investment business, and provides guidance and reference for W company's securities investment business risk management. This paper analyzes the problems existing in the risk management scheme of W company's securities investment business, and optimizes the design of the W company's securities investment business risk management scheme. At the same time, the paper puts forward the guarantee measures for the implementation of the risk management optimization scheme of W company's securities investment business. The main contents are as follows: the first chapter introduces the research background and significance of this paper, summarizes the current research situation of risk management of securities investment business, and expounds the research content, methods and framework of this paper; Chapter 2 introduces the theoretical basis of this paper, including the concept and characteristics of risk, the concept and process of risk management, the methods of risk identification and evaluation, and the optimization theory. Chapter 3 introduces W Company and its securities investment business, and introduces the risks in W Company's securities investment business. Chapter 4 analyzes the problems existing in the existing risk management scheme of W company's securities investment business, introduces the existing risk management scheme of W company's securities investment business, and analyzes the risk management organization of the scheme. Risk management process and risk management methods of existing problems are analyzed. After analyzing the existing problems and reasons of risk management in securities investment business of W Company, the content of Chapter 5 of this paper is introduced, and the optimization design of risk management scheme of securities investment business of W Company is given. According to the problems and reasons of risk management of W company's securities investment business, the paper optimizes the design of W company's securities investment business risk management scheme. The content of the scheme optimization includes the optimization goal and principle of the risk management scheme of the securities investment business of W company. The risk management organization optimization, the risk management process optimization and the risk management method optimization of the securities investment business of W company. In chapter 6, the author puts forward the security measures of the risk management optimization scheme of the securities investment business of W company: to improve the risk control consciousness of the securities decision makers, to perfect the internal management system of the company, and to promote the information construction. Cultivate and introduce risk management personnel and strengthen the construction of risk management culture. In this paper, the problems in the risk management scheme of W company's securities investment business are studied, and the problems and reasons of risk management organization, risk management process and risk management method of W company are analyzed. Combined with the theory of risk management, according to the actual situation of W company's securities investment business, this paper optimizes the design of the risk management scheme of W company's securities investment business, and puts forward the guarantee measures for the scheme's optimization and implementation. It is hoped that the research in this paper can improve the risk management level of W Company's securities investment business and enhance the overall competitiveness of enterprises in the whole securities investment market. At the same time, I also hope that the research results of this paper can provide some reference for the same type of securities companies.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：F832.39;F830.42

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