云南XX建筑施工公司新三板挂牌过程中风险管理研究

发布时间：2019-02-12 13:37

【摘要】：由于新三板挂牌企业的范围逐步扩大到全国,引起了中小企业积极响应的热潮,券商和风险投资机构也希望能在当前的形势市场下大干一场。而从中小企业的融资方式来说,新三板挂牌是一种挑战也是一次机遇。首先阐述了研究的背景,主要内容,研究方法,研究意义等方面的内容。介绍了新三板的含义,特点,挂牌条件等,以及风险控制含义及风险控制的主要内容,关系,基本特征等。介绍了云南XX建筑施工公司新三板挂牌过程中的风险管理现状,分析了面临的主要风险,包括：信用风险、操作风险、流动性风险和挂牌失败风险；以及风险的成因,主要是新三板挂牌市场功能定位不准、监管理念摇摆不定、公司治理结构不完善、风险管理体系不完善以及“三会”制度未充分发挥职能,紧接着对风险进行模型的评价。最后针对企业在挂牌过程中风险管理的现状、面临的挂牌风险及其成因,在挂牌风险评价的基础上,提出了云南XX建筑施工公司新三板挂牌中的风险控制的措施,包括加强横向合作做好新三板挂牌信用风险控制、重视操作风险与流动性风险控制、坚定秉持监管理念、充分发挥“三会”制度的业务监管职能以及准确定位新三板挂牌市场功能、优化新三板挂牌设计这几个措施。
[Abstract]:As the scope of the new third board listed enterprises gradually expanded to the whole country, which caused the SMEs to respond positively to the upsurge, securities companies and venture capital institutions also hope to be able to do a big part in the current market. And from the financing mode of small and medium-sized enterprises, the new third board listing is a challenge and an opportunity. Firstly, the background, main contents, research methods and significance of the research are described. This paper introduces the meaning, characteristics, listing conditions of the new third board, as well as the meaning of risk control and the main contents, relations and basic characteristics of risk control. This paper introduces the current situation of risk management in the process of listing the new third board of Yunnan XX Construction Company, and analyzes the main risks, including: credit risk, operational risk, liquidity risk and listing failure risk; As well as the causes of risk, the main causes are that the market function of the new three boards is not correct, the concept of supervision is uncertain, the corporate governance structure is not perfect, the risk management system is not perfect, and the "three sessions" system has not fully played its functions. Then the risk model is evaluated. Finally, aiming at the present situation of risk management in the process of listing, the listed risks and their causes, the risk control measures in the new third board listing of Yunnan XX Construction Company are put forward on the basis of the listed risk evaluation. Including strengthening horizontal cooperation to do a good job of credit risk control on the new three boards, attaching importance to operational risk and liquidity risk control, and firmly adhering to the concept of supervision. Give full play to the "three sessions" system of the business supervision function and accurate positioning of the new three boards listing market function, optimize the new three boards listing design measures.
【学位授予单位】：云南大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：F426.92;F272.3

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