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论文编号：	10644
作者编号：	2120163196
上传时间：	2018/12/7 21:23:55
中文题目：	AB证券公司营业部操作风险管理研究
英文题目：	Research on Operational Risk Management of Sales Department of AB Securities
指导老师：	周晓苏
中文关键字：	证券公司；营业部；操作风险；风险管理
英文关键字：	securities company; business department; operational risk; risk management
中文摘要：	我国证券行业已经发展了二十余年，但由于互联网技术进步飞快，金融创新的脚步也随之加速，投资者对于金融产品和服务的要求越来越高，随着各类金融产品与服务的技术性和复杂性越来越高，营业部操作风险案例发生情况也越来越多，我国证券公司对于操作风险的管理难度加大。通过加深证券公司对营业部操作风险的重视程度，了解操作风险的成因，提出对证券公司营业部操作风险防范对策，来提高证券公司的综合竞争力,规范证券市场发展。 本文从研究证券公司目前所面临的风险种类以及操作风险管理现状，对AB证券公司营业部操作风险进行识别和评价，运用案例分析法，把实际发生在营业部内部操作风险的事件仔细分析，从公司的组织体制、证券公司营业部的组织架构、内控体系、人力资源管理和业务管理条线进行深入探究，这样才能深入挖掘操作风险的产生根源。再根据我国证券公司营业部操作风险的表现类型和影响我国证券公司营业部操作风险管理的根源因素进行分析研究，发现有些操作风险是很难防范控制的，因此AB证券公司营业部需要开始进行全面风险管理，通过对操作风险进行准确识别、审慎评估、动态监控、及时应对及全程管理，全面风险管理借助由管理制度、组织架构、信息系统、风险指标体系、人才队伍、风险管理文化、风险应对机制形成的全面体系予以实现,AB证券公司营业部需建立健全与自身发展相适应的全面操作风险管理体系，保证营业部在金融风险纷繁复杂的环境下，能够健康平稳的向前发展，不断提高自己的综合实力和竞争力，并为同类证券公司提供营业一些操作风险管理的借鉴方法。
英文摘要：	China's securities industry has been developing for more than 20 years, but due to the rapid progress of Internet technology, the pace of financial innovation has also accelerated, investors for financial products and services have become increasingly demanding, with various types of financial products and services increasingly technical and complex, operating risk cases occurred in the Department of Business. More and more, securities companies in China are more difficult to manage operational risks. By deepening the attention of securities companies to the operational risk of the operating department, understanding the causes of operational risk, and putting forward countermeasures to prevent the operational risk of the operating Department of securities companies, we can improve the comprehensive competitiveness of securities companies and standardize the development of the securities market. This paper studies the types of risks that securities companies are facing and the current situation of operational risk management, identifies and evaluates the operational risks of AB securities company's business department, and makes a careful analysis of the actual incidents that occur in the internal operational risks of the business department by using the case analysis method, from the organizational structure of the company and the group of the business department of the securities company. The organizational structure, internal control system, human resources management and business management lines are explored in depth, so as to dig the root causes of operational risk. Based on the analysis of the types of operational risk and the root factors affecting the operational risk management of the operating Department of the securities company in China, it is found that some operational risks are difficult to prevent and control, so the AB Securities Company's operating department needs to start a comprehensive risk management, through the operational risk management. Accurate identification, prudent assessment, dynamic monitoring, timely response and whole-process management, and comprehensive risk management can be achieved by means of a comprehensive system formed by management system, organizational structure, information system, risk index system, talent team, risk management culture, risk response mechanism. AB Securities Company's business department needs to establish and improve with The comprehensive operational risk management system adapted to its own development guarantees that the business department can develop healthily and steadily under the complicated financial risk environment, continuously improves its comprehensive strength and competitiveness, and provides some operational risk management methods for similar securities companies.
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