证券公司核心交易的公共应急管理研究

发布时间：2018-03-26 10:04

本文选题：应急管理　切入点：业务连续性管理　出处：《西北师范大学》2013年硕士论文

【摘要】：证券行业作为金融系统的重要组成部分，在促进国民经济发展中起到了重要的作用金融系统如果突发公共事件将影响社会公共安全，因而有必要深入研究金融系统的应急管理证券公司核心交易系统是一个高度依赖信息技术的行业，然而，以现代高科技武装起来的设施一旦发生故障就会发生更加巨大的破坏力，高科技的采用也加大了安全运行的门槛，带来了安全风险如何使核心交易系统实现安全运行及业务连续性管理，如何在技术故障或灾难发生时采取合理应急管理措施，是证券行业应急能力建设需要深入探讨的问题目前国内主要在公共突发事件方面的应急管理研究，而面向金融系统尤其是证券核心交易系统应急管理的专项研究并不多因此本文选择将证券公司核心交易系统应急管理作为研究的对象本文旨在结合公共突发事件应急管理以及信息安全管理研究的成果，将应急管理的方法引入证券核心交易系统的应急管理，分析证券核心交易系统突发事件的发展变化规律，研究为维护核心交易系统稳定应采取哪些应对措施本文首先对应急管理的概念，相关研究成果进行了综述，明确应急管理的主要内容，并界定了证券核心交易系统应急管理的定义分析证券核心交易系统应急管理现状及问题，结合国外证券交易所发生的事故国内证券公司发生的证券核心交易系统应急事故，来分析和阐述我国证券公司核心交易系统中突发事故的应急管理现状提出证券核心交易系统应急预案应急演练应急处理保障机制的有效措施结合实践管理经验，以本人所在的公司作为案例，深入研究各类应急场景应用依据作用机理和应对措施，，为证券核心交易的公共应急管理提供了一定的理论和实际依据
[Abstract]:As an important part of the financial system, the securities industry plays an important role in promoting the development of the national economy. Therefore, it is necessary to study in depth the emergency management securities company core trading system of the financial system, which is an industry highly dependent on information technology. However, Facilities armed with modern high technology will have greater destructive power once they fail, and the adoption of high technology has also increased the threshold for safe operation. It brings the security risk how to make the core trading system realize safe operation and business continuity management, how to take reasonable emergency management measures in the event of technical failure or disaster, It is a problem that needs to be discussed deeply in the construction of emergency capacity in the securities industry. At present, the research on emergency management in the field of public emergencies is mainly conducted in China. However, there are not many special researches on emergency management for financial system, especially for securities core trading system. Therefore, this paper chooses the emergency management of securities company core trading system as the object of study. The purpose of this paper is to introduce the method of emergency management into the emergency management of the securities core trading system, and to analyze the law of the development and change of the unexpected events in the securities core trading system. In order to maintain the stability of the core trading system, this paper first summarizes the concept of emergency management and related research results, and clarifies the main contents of emergency management. It also defines the definition of emergency management of securities core trading system and analyzes the current situation and problems of emergency management of securities core trading system. To analyze and expound the current situation of emergency management of unexpected accidents in the core trading system of securities companies in our country. The effective measures of emergency handling and guarantee mechanism for emergency handling and protection mechanism of securities core trading system are put forward, combined with practical management experience. Taking my company as a case, this paper makes a thorough study on the mechanism and countermeasures of the application of various emergency scenarios, which provides a theoretical and practical basis for the public emergency management of securities core transactions.
【学位授予单位】：西北师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.51

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