创业板拟上市公司IPO的风险研究

发布时间：2018-01-14 15:07

本文关键词：创业板拟上市公司IPO的风险研究　出处：《西华大学》2014年硕士论文　论文类型：学位论文

【摘要】：2009年10月我国创业板的正式启动为推动中小企业成长、调整产业结构、完善资本市场体系发挥了举足轻重的作用。同时，也为我国产业结构的调整、经济改革的推进开辟了新的渠道。然而，由于我国创业板市场开设的时间较短，在给投资者提供大量机会的同时蕴藏了各种各样的风险。因此，如何认识拟上市公司在创业板所面临的风险并且对其进行防范与控制是我们亟待解决的问题。本文基于拟上市公司的角度，简要分析创业板拟上市公司IPO风险的相关理论基础，通过理论与拟上市公司的实际情况相结合，将拟上市公司进行IPO时所面临的风险分为外部环境风险和内部环境风险。在此基础上，引入多层次灰色评价方法对其风险进行评估，依靠评估结果探讨有助于拟上市公司于创业板顺利进行IPO的防范与控制措施。本文内容共有七章，笔者将其分为四个部分。第一部分为第1章，简单介绍了本文的研究背景与意义、研究方法与思路以及我国创业板拟上市公司IPO风险的研究现状；第二部分为第2章，着重阐述了创业板拟上市公司IPO风险的相关理论，分析创业板的市场特点、创业板与主板的区别以及创业板IPO的流程；第三部分包括第3、4、5、6章，其中，第3、4、5章运用风险管理理论知识，在现有的风险管理框架的基础上，建立风险识别、风险评估、风险防范与控制一套完整的风险管理体系，第6章以A公司为例，将风险管理体系的理论运用于具体实践；第四部分是第7章，对本文进行小结并指出不足之处。
[Abstract]:In October 2009, the formal launch of China's gem has played an important role in promoting the growth of small and medium-sized enterprises, adjusting the industrial structure and perfecting the capital market system. At the same time, it has also played an important role in the adjustment of the industrial structure of our country. The promotion of economic reform has opened a new channel. However, because of the short time of the gem market in China, there are a lot of opportunities for investors at the same time there are a variety of risks. How to understand the risks faced by listed companies in the gem and how to prevent and control them is an urgent problem to be solved. Based on the perspective of listed companies, this paper briefly analyzes the theoretical basis of IPO risk of gem companies, and combines the theory with the actual situation of listed companies. The risks faced by listed companies when carrying out IPO are divided into external environmental risk and internal environmental risk. On this basis, the multi-level grey evaluation method is introduced to evaluate the risk. Depending on the evaluation results, this paper discusses the prevention and control measures for the proposed listed companies to carry out IPO smoothly on the gem. There are seven chapters in this paper, the author divides it into four parts. The first part is the first chapter, briefly introduces the research background and significance of this paper. Research methods and ideas, as well as China's gem to be listed companies IPO risk research status; The second part is the second chapter, focusing on the gem listed companies IPO risk related theory, analysis of the gem market characteristics, gem and the main board differences and gem IPO process; The third part includes chapter 3, chapter 4 and chapter 5, in which chapter 3 uses the theory of risk management to establish risk identification and risk assessment on the basis of the existing risk management framework. Risk prevention and control is a set of complete risk management system. Chapter 6 takes company A as an example to apply the theory of risk management system to practice. The 4th part is the 7 th chapter, this article carries on the summary and points out the deficiency.
【学位授予单位】：西华大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.51;F276.6;F272.3

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