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论文编号：	5111
作者编号：	2220110865
上传时间：	2013/5/27 17:15:57
中文题目：	AA证券公司风险管理研究
英文题目：	Study on Risk Management of AA Security Company
指导老师：	李莉
中文关键字：	证券公司；风险；全面风险管理
英文关键字：	securities company; risk; enterprise risk management
中文摘要：	股市是一个高风险的市场，证券公司作为证券市场的重要一部分总是不可避免地伴随着风险。回顾中外证券公司发展的经验，证券公司的风险控制不仅直接关系到企业自身的生存，还很可能危及整个国家资本市场的稳定乃至金融体系的安全。例如由于美国次贷危机导致的五大老牌投行的破产，让我们更加清楚地明白在我国证券市场逐步走向成熟的同时风险也会随着市场更大、品种更多和测量更复杂而变得更加难以掌控。因此，在学习国外风险管理经验的基础上，根据本国国情和企业的总体战略方针，探寻出符合证券公司发展的全面风险管理体系是有非常重要的。本文在对中外证券公司风险管理理论和实践总结的基础上，为研究全面风险管理在证券公司的运用，重点论述了证券公司风险管理的相关理论内容，通过AA证券公司全面风险管理的实例，详细论证和研究了证券公司的全面风险管理。第一，从证券公司风险管理的产生原因、演化过程着眼，讨论了主题的研究背景，简单概述了主题的理论基础。第二，中外证券公司风险管理状况及启示，描述国内外证券公司的风险管理发展情况，并通过比较分析中外证券公司在风险管理中面临的风险和产生的后果，总结出经验教训。第三，简单概述了AA证券公司全面风险管理的现状和目前所存在的问题。第四，以AA证券公司为例，在现有国情和公司既定的经营战略目标的基础上设计出一套全面风险管理体系，并对其实施和运作的有效性进行论述和评价。最后，阐明了文章的结论，反思了研究的不足，并指明今后的研究方向。本文对证券公司全面风险管理研究的内容和结论，一方面对目前国内证券公司风险管理工作有现实指导作用，另一方面对未来国内证券公司风险管理的研究也有一定的参考价值。
英文摘要：	The securities market is a highly risky market. Securities companies have always been facing risks as the important medium and participant in the financial market. Based on the past experience of domestic and foreign securities companies, we have observed that the inadequate risk control will not only dampen the survival of the enterprise itself, but will also jeopardize the overall capital markets and financial systems. A case in point is the U.S. subprime mortgage crisis which led to the fiasco of five investment banks. This leads us to believe that the Chinese securities market will become increasingly risky when the market evolves and matures. The maturation of the market is evidenced by the expansion of the market, the emergence of the product types and the complexity of the measuring systems. Therefore,it is important to study international advanced risk management theories and experiences, to analyze the current situation of the risk management systems of the Chinese securities companies, to explore enterprise risk management systems which are applicable to the Chinese securities companies. This essay is based on the study results of the international and domestic risk management systems and experiences. Its main topic is the complete study of risk management systems of the securities companies. Emphasizing on the enterprise risk management framework and the comprehensive examples of AA Securities Company, the author conducts the study of the enterprise risk management theories and applications in the securities companies. First, the essay introduces the theoretical basis of the risk management system. The essay begins with the cause and formation of the securities company's risk management system, further explains the development and evolution of the system and analyzes the background of the securities company's risk management system. Second, the essay compares the current status of risk management systems, summarizes experiences and lessons learned, identify risk management gaps between the domestic and international securities companies under different eras and various regulatory and technical environments. Third, the essay describes the status quo and the problem about AA securities companies’s comprehensive risk management. Forth, using AA Securities Company as an example, the essay has a detailed discussion of the enterprise risk management system under the premise of how to implement and apply and the evaluation of its associated results. Finally, the essay generates the conclusion of the study, points out the areas not covered and future research interests. This essay is a good guidance and future reference for domestic securities company’s risk management practices.
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