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论文编号：	7050
作者编号：	2120123096
上传时间：	2014/12/10 23:18:19
中文题目：	证券公司风险管理研究 ——以YH证券为例
英文题目：	Study on Risk Management of Security Firms - A Case Study on YH Securities
指导老师：	程新生
中文关键字：	证券公司;风险管理;金融创新
英文关键字：	Securities Firms;Risk Management;Financial Innovation
中文摘要：	证券行业是一个高风险的行业，在我国金融市场有着不可取代的地位。2008年的金融危机中，曾经的华尔街五大投行几乎全军覆没，暴露了风险管理无法与金融创新相匹配的残酷现实。我国证券公司的历史不长，只有20几年的时间，曾经有过很多的问题，不过在经过3年的综合整治后，情况有所改善。自2012 年以来，我国证券公司进入创新发展阶段。监管当局对一系列监管条例做出修订，体现出“放松管制、加强监管”的政策导向，在强化风险控制的前提下，支持证券公司业务的创新。今年5月份的“新国九条”，更是提出了六点核心内容来支持资本市场创新。资本市场创新环境的复杂化与精细化对我国证券公司风险管理能力提出了更高的要求，风险管理能力正逐步成为证券公司核心竞争力的重要组成部分。 本文具体研究的内容是证券公司风险管理，全文结构划分为六部分。第一章为绪论，包括选题背景和意义、研究内容和结构、相关文献综诉。第二章介绍了证券公司风险管理理论基础，包括国内外对证券公司风险管理的研究、风险管理相关理论的介绍和监管文献的介绍等。第三章则是对国内外证券公司风险管理现状，包括介绍一些案例的具体做法，分析目前国内风险管理存在的不足之处。第四章是对本文分析的案例YH证券风险管理现状的介绍，包括基本情况、风险管理架构、现有措施及评价等。第五章的内容是针对不足之处给出YH证券风险管理的完善建议。最后一部分是总结。 本文主要采取的研究方法是案例分析法，结合行业分析与背景分析，力求从个案出发，将研究推广到整个行业。本文在归纳总结以往对证券行业的研究分析后，对我国证券公司目前面临的金融创新环境进行了深入的分析，以此对证券公司风险管理问题给出了自己的建议。
英文摘要：	As an industry with high risk, securities companies play an irreplaceable role in financing market. In 2008, the outbreak of the financial crisis have almost annihilated the five major Wall Street’s investment Banks. It’s exposed the cruel reality that the risk management can't match the financial innovation. In our country, the securities industry has an only 20 years’ history, and many securities companies had a lot of problems. After 3 years’ comprehensive remediation, securities companies had a significant progress in inner control. Since 2012, China's securities companies to enter an innovation development phase. Regulatory authorities have made amendments to a series of regulations, reflecting the orientation of "relax control, strengthen the supervision”. Regulatory authorities want to strengthen the support of securities companies’ innovation in the premise of strengthening risk control. In May this year, Regulatory authorities announced "New Nine Opinions”, which is put forward six core content, to support capital market innovation. The complexity of capital market innovation environment requires the ability of risk management and the risk management ability has become an important part of the core competence of securities companies. The specific research of the thesis is the risk management system of Securities Company. The structure of the thesis is divided into six chapters. The first chapter is the brief introduction of the whole thesis, including the background and significance, research content and structure, related documents. The second chapter introduces the basic theory of risk management of securities companies, including domestic and international research of risk management of Securities Company, risk management related theory and the third regulatory documents. The third chapter is the introduction of the situation of the domestic and foreign securities companies risk management, including the specific approach of some cases and the analysis of the deficiencies of the domestic risk management. The fourth chapter is the introduction of a case study on YH securities, including the basic situation, the risk management framework, risk control measures and risk evaluation. The fifth chapter is mainly about proposals on YH’s deficiency. The sixth chapter is a summary. The main research method of the thesis is based on case study, combined with the industry analysis and the background analysis. Starting from the case study, the thesis tries to extend the study to the entire industry. The thesis summarizes the research of the securities industry in the past and conducts an in-depth analysis on the financial innovation environment. Based on the research and the analysis, the thesis puts forward comprehensive proposals on enhancing risk management of securities firms.
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