PB业务风险管理问题的思考

发布时间：2018-05-10 08:35

本文选题：PB业务 + 风险　；参考：《华中师范大学》2017年硕士论文

【摘要】：我国PB业务正处在高速发展的阶段,PB业务为资本市场带来了新的产品、新的规则,同时在井喷式的增长背后也埋藏了诸多新的风险,各类新问题接踵而至。本文对我国PB业务的风险管理问题进行了初步的探讨和分析,重点研究了 X券商在运营过程中实际存在的问题,有针对性的提出了防范和规避的建议。希望能给大家带来些帮助或启发,同业的其它公司在PB业务的开展过程中遇到类似场景予以借鉴。本文第一章为概述部分,主要阐述了研究背景,研究目的和研究意义,主要研究内容,以及研究方法。第二章为基本概念和基本理论,介绍了 PB业务的基本概念,以及风险和风险防范的概念和理论。第三章阐述了国外的PB业务发展过程和现状,总结了近几年国内PB业务的发展,以及国内外发展路径与现状的异同点。第四章重点针对PB业务流程中的主要风险,进行了针对性的分析,探究对应的防范措施和解决方案。第五章为结论和建议部分。对PB业务中的各种风险进行总结归纳,提供了风险防范的措施和建议。主要的研究结论包括:PB业务中的投资监督环节风险、产品估值环节风险、资金交收环节风险、份额登记环节风险和以上各环节的共性风险。其中共性风险又涵盖法律风险、道德风险和信息技术系统风险,并提出了对应各风险点的防范建议。
[Abstract]:PB business in our country is in the stage of rapid development, which brings new products and new rules to the capital market. At the same time, there are many new risks buried behind the blowout growth, and various new problems follow. This paper makes a preliminary discussion and analysis on the risk management of PB business in our country, focuses on the problems existing in the operation process of X securities companies, and puts forward some suggestions to prevent and avoid them. Hope to give you some help or inspiration, other companies in the PB business development process encountered similar scenarios to learn from. The first chapter of this paper is an overview of the research background, research purposes and research significance, the main research content, as well as research methods. The second chapter is the basic concept and theory, introduces the basic concept of PB business, as well as the concept and theory of risk and risk prevention. The third chapter describes the development process and present situation of PB business in foreign countries, summarizes the development of domestic PB business in recent years, as well as the similarities and differences between domestic and foreign development path and present situation. The fourth chapter focuses on the main risks in PB business process, and makes targeted analysis to explore the corresponding preventive measures and solutions. The fifth chapter is the conclusions and recommendations. Various risks in PB business are summarized, and the measures and suggestions of risk prevention are provided. The main conclusions include the risk of investment supervision, the risk of product valuation, the risk of fund settlement, the risk of share registration and the common risk of each link above. The common risk includes legal hazard, moral hazard and information technology system risk.
【学位授予单位】：华中师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.51

【参考文献】