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论文编号：	10263
作者编号：	2120163223
上传时间：	2018/12/5 11:25:43
中文题目：	DB证券公司的财务风险管理研究
英文题目：	Research on the Financial Risk Management of DB Securities Company
指导老师：	姚颐
中文关键字：	证券公司；财务风险；财务管理
英文关键字：	Securities Company; Financial Risk; Financial Management
中文摘要：	随着我国经济逐渐步入经济增速放缓、经济结构再调整的“新常态”，提高经济增长的内生动力、清理过剩产能成为政府的重要任务之一。尤其是2008年金融危机以来，影子银行问题愈演愈烈，地方债务较为沉重，大力推动“金融去杠杆”、降低金融风险是促进我国经济健康发展的当务之急。作为资本市场中重要的中介组织，证券公司的财务风险管理受到了监管层和公司的高度重视。宏观经济的下滑和金融政策的转向客观上对证券公司的经营业绩造成了不良影响，对证券公司的财务风险管理能力也提出了更高的要求。作为全国性中型综合类证券公司，截至2017年底DB证券公司共有39家分公司和98家证券营业部，成为覆盖全国的综合金融服务的控股集团。随着规模的不断扩大和和业务范围的拓展，DB证券公司的风险管理面临更高的挑战，加强内部的财务风险管理体制，提高财务风险应对能力，有助于DB证券公司应对外部市场冲击，实现新的发展突破。本文以DB证券公司为研究对象，对其财务风险管理状况进行了深入分析。在内容安排上，本文首先提出研究的背景及意义，总结国内外相关研究进展和现状，同时阐明本文的研究思路、方法以及创新和不足之处；其次，本文对相关的概念进行界定，对证券公司财务风险的类型、成因和特点进行了梳理，还对证券公司财务风险管理体系的基本内容进行了总结；接着，本文对DB证券公司的财务风险现状进行了分析，分别介绍了公司概况和财务状况，并且进一步分析了DB证券公司面临的主要财务风险；然后，本文分别从框架、实施和效果三个角度对DB证券公司的财务风险管理现状进行了深入剖析，在总结其财务风险管理框架设计、具体实施举措和相对同行业同类公司的财务风险管理效果的基础上，分析其中存在的问题与成因；最后，根据前述分析，提出优化DB证券公司财务风险管理的针对性建议，以帮助公司解决财务风险管理中面临的具体问题，提高财务风险管理水平。
英文摘要：	With China's economy stepping into the "new normal" of slowing down economic growth and readjusting economic structure, improving the endogenous power of economic growth and clearing up excess capacity have become one of the important tasks of the government. Especially since the 2008 financial crisis, the shadow banking problem has become more and more serious, and the local debt is heavier. It is urgent to promote "financial deleveraging" and reduce financial risks to promote the healthy development of China's economy. As an important intermediary organization in the capital market, the financial risk management of securities companies has been highly valued by regulators and companies. The decline of macro-economy and the shift of financial policy objectively have a negative impact on the operating performance of securities companies, and put forward higher requirements for the ability of financial risk management of securities companies. As a national medium-sized comprehensive securities company, DB Securities Company has 39 branches and 98 securities business departments by the end of 2017, and has become a holding group covering the whole country's comprehensive financial services. With the continuous expansion of the scale and the expansion of business scope, DB securities companies are facing higher challenges in risk management. Strengthening the internal financial risk management system and improving the ability to cope with financial risks will help DB securities companies cope with external market shocks and achieve new breakthroughs in development. Taking DB securities company as the research object, this paper makes an in-depth analysis of its financial risk management situation. In terms of content arrangement, this paper firstly puts forward the background and significance of the study, summarizes the research progress and status quo at home and abroad, and clarifies the research ideas, methods, innovations and shortcomings of this paper; secondly, this paper defines the relevant concepts, combs the types, causes and characteristics of financial risks of securities companies. Secondly, this paper analyzes the current financial risk situation of DB Securities Company, introduces the general situation and financial situation of DB Securities Company, and further analyzes the main financial risks faced by DB Securities Company. Then, this paper makes an in-depth analysis of the current situation of financial risk management of DB Securities Company from three perspectives: framework, implementation and effect. On the basis of summarizing the design of its financial risk management framework, specific implementation measures and the effect of financial risk management of similar companies in the same industry, the paper analyses the existing problems and causes. Finally, according to the above analysis, this paper puts forward some suggestions to optimize the financial risk management of DB Securities Company, in order to help the company solve the specific problems faced in the financial risk management and improve the level of financial risk management.
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