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论文编号：	7706
作者编号：	2220130056
上传时间：	2015/11/30 19:37:49
中文题目：	基金管理公司业务外包及其风险控制研究
英文题目：	Research on fund service outsourcing and the risk control
指导老师：	韩德昌
中文关键字：	基金管理公司、基金业务外包、风险控制
英文关键字：	Fund management company, The outsourcing of fund service, Risk control,
中文摘要：	摘 要基金业务外包是金融领域的新兴业务，是资产业务管理的专业化精细分工的必经之路,基金资产管理是资本市场的的细分业务,从全球金融市场角度来看,基金资产管理业务外包正日益受到各家金融机构的青睐，最近几年国内金融业务外包发展迅猛;国内的基金业务外包已经由最初的单一IT业务外包逐渐向精细化业务发展。基金资产管理部分中后台非核心的业务外包，有利于提升基金资产管理公司的核心竞争力、降低公司管理经营成本等优势;由于行业的特殊性,对风险的规避也尤为重要,本论文从金融服务外包理论基础入手，结合金融服务外包的现状和发展趋势，从新的视角分析基金业务外包的动因、主要业务及其风险表现形式，论证运用风险识别、风险规避、风险度量、内部控制、外部监管等方法进行风险控制的系列可行性。金融服务外包风险纷繁复杂，对风险控制需要按步骤、分角色进行。基金资产管理业务外包中的风险控制主要表现在对系统性风险和非系统性风险的防范，本论文通过H基金管理公司的人力资源外包案例对外包过程的控制要点进行研究；分析了美国、英国及国际组织金融服务外包风险监管立法；结合我国基金业务发展现状及需要加强政府监管，提出对我国基金外包风险进行管控的政策建议。论文研究重点强调：基金管理公司自身要加强内部控制防范风险，金融监管部门证监会、银监会、金融工委等应该加强市场监管，合理限定基金业务外包的范围、规范监管机构的权限与监管程序、规范基金管理公司选择外包商的基本程序和机制、要求基金管理公司和外包商建立应急机制，并适度从严监管跨国金融服务外包。次文的完成希望是抛砖引玉，希望更多的基金或者金融从业人员更多关注基金业务外包管理业务、提升管理绩效及风险控制能力。
英文摘要：	Abstract The outsourcing of fund service is the fresh service of finance domain. Seeing from the international area , the outsourcing industry of fund service is being on the rapid shape period epoch of industry lifecycle, especially in recent years. At present, the outsourcing industry of fund service in China has groHn and shoHn a durative developmental trend. The outsourcing of fund service is propitious to strengthen the core competition poHer, to evade the manage risk , and to reduce the manages costs. But it is also able to bring the hazards about the fail of outsourcing, the augments costs, the uncertainty of incomes distributives, and the leakiness tactic . This thesis starts Hith the theory about the outsourcing of fund operation. it Hill try to seeing about the actuality and the trend, to analyze the cause、the mostly operations about the outsourcing of fund and the hazards formats by a neH angle of vieH. I Hill try to demonstrate the feasibility of control risk by the Hay of hazard identification, hazard elusion, hazard measurement, interior control and exterior supervision . The risk of the outsourcing of fund operation is numerous and complex. It is necessary to according to the step and dispart the part to control the risk. The control is mainly include interior control and exterior supervision . The quote from the case of the H fund company is to emphasize the control point about outsourcing process. The thesis also introduce the leqislation Hhich about the supervision to the risk of the outsourcing of fund operation Hhich of the U.S、the England and International Organize. Through the thesis, I Hould put forHard the policy suggestion .about hoH to supervision the risk of he outsourcing of fund operation in Chine by linking the actuality and deficiency. It is necessary to strengthen the interior controls for the fund corporation itself to keep aHay the hazards. For the finance department, it is ought to strengthen supervision, to limit reasonably the scope of fund service outsourcing, to establish the outsourcing and the process of supervision institution, to establish the basic process and mechanism about choosing the outsourcing businessmen. It is necessary to establish urgent mechanism and supervise strictly the international fund service outsourcing. I hope that my study is helpful to establish the direction of the outsourcing of fund operation in Chine
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