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论文编号：	12717
作者编号：	2320190721
上传时间：	2021/12/6 15:50:31
中文题目：	BH证券公司财务风险管理研究
英文题目：	Research on the Financial Risk Management of BH Securities Company
指导老师：	姚颐教授
中文关键字：	证券公司;财务风险;风险管理
英文关键字：	Securities Company;Financial Risk;Financial Management
中文摘要：	金融是现代经济的核心，各金融机构的业务开展要切实落实金融风险的防控理念。券商行业充当着联接一二级市场、联接资本供给与需求方的桥梁作用，其风险管理尤其是财务风险管理对于预防出现重大资本市场风险具有重要作用。在金融供给侧结构性改革及金融行业加速业务转型的背景下，伴随着金融科技对证券行业赋能化的日益增强以及国内券商经营范围的逐步放宽，国内证券行业盈利模式逐步由传统的通道型中间业务为主体的盈利模式向资本投资业务、资本增值业务等体现专业性的综合金融服务盈利模式转型，券商之间竞争日益白热化。在此基础上，各券商想要谋求发展，在市场中取得一席之地，就必须发挥公司所长、优化现有结构、完善公司治理，在此过程中面临的各种不确定性则会放大公司风险量级，增加财务风险。完善内部财务风险管理体系，构建健全的内部财务风险管理框架，提高财务风险管理水平与应对能力，有助于BH证券公司有效应对不断变化的市场，突破自身发展瓶颈，实现高质量增长。 本文以BH证券公司为研究对象，对其财务风险情况及管理状况进行了深入研究分析。首先，本文从证券公司财务风险管理的背景及意义出发，在借鉴国内外对于风险管理及财务风险管理的研究进展和实践成果的基础上，阐明本文的研究思路、方法以及创新之处；其次，对本文研究的财务风险管理及相关的概念进行了明确，梳理了证券公司财务风险的类型、特征以及证券公司的财务风险管理体系；再次，以BH证券公司基本情况为案例出发点，对BH证券公司的财务现状进行分析，并在进行财务风险识别的基础上，进一步论述了公司的财务风险管理体系及实施现状；然后，运用Z-score评价BH证券公司的财务风险管理效果，并在此基础上凝练出BH证券公司财务风险管理中存在的问题并查找问题形成的成因；最后，提出BH证券公司财务风险管理在管理体系、具体实施及管理效果方面的优化建议，以帮助提升公司整体财务风险管理水平。
英文摘要：	Finance is the core of the modern economy, and all financial institutions shall implement the concept of financial risk prevention and control in their business operations. The brokerage industry is the bridge connecting the primary and secondary market and connecting the capital supply and demanders. On the background of supply-side structural reform of the financial sector and the accelerating business transformation in the financial industry, with the gradual energizing increasing of the financial technology to the security industry and the less rigid business range of the domestic brokers, the profit model of domestic security industry has gradually transformed from the profit model which takes the intermediate business of the traditional channel style as the main body to the profit model representing the professional comprehensive financial service such as capital investment business, capital appreciation business and so on. The competition among brokers are more and more severe. On this foundation, in order to pursue development and take a place in the market, various brokers must take advantage of the company, optimize the current structure and complete the company management. In this process, the various uncertainties will promote the level of company risk and increase the financial risk. Completing the inner management system of financial risks, constructing the completed inner management frame of financial risks, and increasing the management level and dealing ability of financial risks help BH securities firms to deal with the changing market effectively, to break though the developing bottleneck and realized the high-quality increase. This paper takes BH Securities Company as the research object and conducts an in-depth research and analysis on its financial risk and management. Firstly, starting from the background and significance of financial risk management of the securities company, and based on research progress and practical results of risk management and financial risk management at home and abroad, this paper expounds the research ideas, methods and innovations; secondly, this paper clarifies the financial risk management and related concepts studied, and sorts out the types and characteristics of financial risks of the securities company as well as the financial risk management system of the securities company; thirdly, taking the basic condition of BH Securities Company as the starting point, this paper analyzes the financial situation of BH Securities Company, and further discusses the financial risk management system and implementation status of BH Securities Company on the basis of financial risk identification; then, this paper use Z-score to evaluate the financial risk management effect of BH Securities Company, and on this basis, summarizes the problems existing in the financial risk management of BH Securities Company and finds out the causes of these problems; finally, this paper puts forward optimization suggestions on the management system, specific implementation and management effect of financial risk management of BH Securities Company to help improve the overall financial risk management level of the company.
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