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论文编号：	5956
作者编号：	2120112886
上传时间：	2013/12/8 15:14:36
中文题目：	证券公司财务风险管理研究——以H证券公司为例
英文题目：	Research on Financial Risk Management of Securities Company ——Take H Securities Company For Example
指导老师：	张继勋
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, Risk management
中文摘要：	我国证券公司这些年来发展的速度很快，但是发展中也出现了很多问题。证券公司作为证券市场重要的中介机构，主要的业务包括证券自营业务、证券经纪业务、证券发行与承销业务、受托资产管理业务等，高风险性是其属性之一。证券公司各种风险都会与财务风险相关联，因此证券公司的财务风险管理机制是否健全，是限制证券公司发展的主要问题，也是决定证券公司核心竞争力高低的关键因素。本文介绍了财务风险管理的相关理论，将证券公司财务风险从产生原因上划分为外部因素引起的财务风险和内部因素引起的财务风险，并且着眼于分析证券公司作为特殊的金融中介机构，其外部因素和内部因素所导致的财务风险的特点，并分别从外部和内部两个角度分析了证券公司财务风险的成因和财务风险管理的现状，并提出相应的解决方法，以求提高证券公司财务风险控制效果，促进中国证券市场的健康发展。在对H证券公司的具体分析中，通过分析H证券公司所处的市场环境、监管环境等外部因素导致的财务风险表现和证券自营、证券经纪、证券承销业务过程以及信息技术等各种内部因素所导致的财务风险的特征，对H公司的有效做法给予肯定，并对现有的不足，提出改进建议, 以便提高财务风险管理的水平，给其他证券公司起到借鉴作用。
英文摘要：	As important intermediary institutions in the securities market, Securities Company is the main business including securities proprietary business, securities brokerage services, securities issuance business, securities underwriting business, and entrusted asset management business. Securities company, which is the bridge between enterprises and capital market, plays an important role in the securities market, its special role makes it undertake different sorts of risks. The level of the securities company’s risk management is the key factors of its core competitiveness. This paper introduces the related theory of financial risk management, the securities company financial risk can be divided into the financial risk of the external factors and internal factors of financial risk form the causes. The paper introduces Securities Company’s financial situation in our country, and describes the case of H Securities Company. It analyzes H securities company’s financial risk management from external factors such as market environment and regulatory environment and internal factors such as securities proprietary business, securities brokerage services, securities issuance, underwriting business and information technology risk. Finally, the paper provides effective methods to solve the existing problems. Hope H Securities Company can change the development mode and continue to develop innovative business and products. In order to better promote the healthy development of China's securities market. H Securities Company should improve the ability to cope with financial risk, improve the level of financial risk management, and be used for reference in other Securities Company.
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