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论文编号：	8301
作者编号：	2120142888
上传时间：	2016/6/7 13:13:55
中文题目：	BH证券公司债券业务风险控制研究
英文题目：	The Research on Bond Business Risk Management of BH Securities
指导老师：	李莉
中文关键字：	证券公司;债券业务;风险控制
英文关键字：	Securities Firms;Bond Business;Risk Management
中文摘要：	债券市场是企业直接融资的场所，对于降低企业融资成本、分散银行的经营风险具有很大的作用，政府也在鼓励债券市场的发展，鼓励债券市场帮助企业进行直接融资。债券业务是证券公司的主要业务之一，是衡量一家证券公司经营水平和市场地位的重要指标。并且债券业务在为证券公司带来巨大收益的同时，也随之带来了相应的风险，这些风险伴随着债券业务活动出现。最近几年，我国每年的债券业务量都呈现逐年上升的趋势，证券公司的收益也在逐步增加。证券公司大力开展债券业务，分流了银行的资金借贷压力，减轻了银行的负担和风险。但是，在大力开展债券业务的同时，怎样有效地防范市场风险，并且实现稳定的收益，就成为了证券公司迫切需要解决的一个问题。本文首先对中美两国证券公司在风险控制研究领域的研究成果进行了一个简要梳理，介绍了债券业务风险管理的基本理论，以及流动性风险和信用风险等理论，从而为本文通篇的研究打下了一个良好的理论基础。 接着本文以BH证券公司作为研究对象，介绍其基本的业务发展情况和存在的风险相关问题。深入介绍其风险控制的现状和风险产生的原因，揭示了其自身所存在的风险管理漏洞和盲区。在上述研究的基础之上，本文尝试从完善BH证券公司债券业务部门的风险识别和评估体系、建立相应的风险应对机制、完善债券一、二级市场业务的风险控制体系、以及加强债券业务风险控制水平等方面提出了风险控制改进的实施方案。并且通过实际案例的研究与分析，对相关风险控制方案的有效性和必要性进行了印证。期望通过本文的风险控制研究，能够对我国证券公司开展债券业务过程中的风险控制工作提供一个有效的参考样本，并且给债券从业人员在从事风险控制工作时带来一定的帮助。 本文共有参考文献30篇。
英文摘要：	The bond market is an important part of Chinese financial market, and is also an important aspect of financial innovations. The bond market provides a power for the development of China's enterprises in direct financing aspect. Bonds business is one of the securities firms’ main business. The bond business could provide benefits to securities firms, but it also could provide risks to securities firms. In recent years, Chinese bond business the rapid developed rapidly, and the bond business volume increased year by year. And it is a part of the bank's risk largely. But, how to effectively avoid risks on the market is a difficult problem. First, the paper reviewed the current domestic and international research on bond business risk control. And the paper also reviewed the basic theory of bond business risk management, such as liquidity risk, credit risk and credit rating. Second, the paper regard the BH securities as the empirical to research. And the author tried to analyze the current development of bond business on risk control. The paper finds some problem about the risk control of BH Securities. Third, The paper tried to improve the work of the risk control of BH Securities, and tried to provide the solutions for the risk control. Moreover, through the research and analysis of the actual cases, the risk control scheme is effective and necessary. The end, the author hope that through this article research, the paper could provide a good reference to the bonds business risk control work of our country securities firms. With the help of this paper, the risk control work could do better than before. If BH Securities wants to do better than before on bond business, its staffs need to study more and more knowledge for the risk control. In this paper, there are a total of 30 references.
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