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论文编号：	8596
作者编号：	2220110794
上传时间：	2016/11/25 9:46:13
中文题目：	中国期货公司国际期货结算风险控制研究
英文题目：	International Futures Settlement Risk Control Research For Chinese Futures Companies
指导老师：	张玉利
中文关键字：	国际期货，期货结算，风险控制
英文关键字：	International futures, futures settlement, risk control
中文摘要：	中国期货经历了初始发展阶段和清理整顿阶段，进入本世纪后终于迎来了发展的春天。随着中国经济与世界经济的深入融合，中国经济在世界经济中的占比越来越大，在世界经济中的地位也越来越处于突出的位置。从代表草根的“中国大妈”到中国专业投资者，无论是海外现货市场还是海外期货市场，到处活跃着中国人和中国企业的身影，中国因素已经成为影响当今全球生活的重要因素。在此背景下，中国期货的国际化进程在近几年出现了加速的迹象。中国期货如何“走出去”和“引进来”？中国投资者如何按照全球期货市场的游戏规则参与全球交易？中国期货公司如何在从事国际期货交易同时有效把控风险？成为摆在中国期货监管部门和期货公司面前的重要课题。结算部门作为期货公司的核心部门，素有期货公司“心脏”的美誉。国内期货结算和国际期货结算虽然存在着诸多不同，但结算在期货公司中所扮演的角色和所处的地位始终是其他部门无法比拟的。加强期货公司结算风险控制，涵盖了事前风控、盘中风控和事后风控等多方面，对于公司整体运营风险管理，对于公司市场开拓的保驾护航，对于满足监管部门的监管要求具有重要意义。根据这一思路，本文以中国期货公司为研究主体，以期货公司的核心业务——结算业务的风险控制为研究对象，通过对目前中国期货公司结算业务的现状和存在的问题进行分析，提出加强结算风险控制的必要性。在协调好风险控制与客户活跃关系，期货公司自我约束与内外部稽核相结合，坚持国际惯例与期货公司实际情况相结合，坚持定量计算与定性分析相结合的思路的情况下，通过期货结算风险控制的制度化、专业化和系统化，提出了建立全面结算风险控制制度体系、建立风险控制绩效考核联系制度、加强对结算风控岗位的人力建设、建立和完善结算风险的指标体系和关注国际监管机构的新要求新动向的具体措施。
英文摘要：	China’s futures market comes in a spring of development when comes into the 21 century after undergoing the stages of initial development and cleaning up. As the closer mixture between the China’s and world’s economy, China’s economy becomes more and more important in the world. From “Chinese Da Ma” to professional investors, no matter overseas spot markets or futures markets, Chinese people or companies are active in global markets and Chinese factors have become the important factors in today’s global life. In the background, the process of China’s futures globalization shows the signs of acceleration. How to “walk out” and “introduce in” for China’ futures? How to participate in global trading in the rule of global futures markets for Chinese investors? How to efficiently control risks on global futures trading for Chinese futures companies? All the topics are important for Chinese futures supervisor departments and futures companies to answer. As the core department of futures company, the settlement department is always deemed as the heart of futures company. Although there are different between domestic and international futures settlement, the importance of settlement department is the same in futures company. Strengthen the settlement risks control covering every aspect including pre-risk control, real time risk control and after risk control, and is also important to the whole company’s operational risk control, to the protection of company’s marketing development and to the satisfaction of supervisor department‘s requirements. According to the train of thought, this article will take Chinese futures companies’ overseas subsidiaries as research subjects and futures company’s risk control of core business settlement as research target, analysis the settlement status of Chinese futures companies’ overseas subsidiaries, and find out the necessities of strengthening the settlement risk control. Keep the principles of coordinating well the good relationship between risk control and clients’ activities, combining the futures companies’ self-discipline and internal and external audit, combining the international traditions and futures companies’ actual situations, combining the methods of quantitative analysis and qualitative analysis, though the institutionalization, specialization and systematization of futures settlement risks control, find out the concrete measures of setting up settlement risks control regulations system, setting up risks control and performance appraisal relation rules, strengthening the human resources improvement of settlement risks control post, setting up and completing the settlement risks indicators system and paying close attentions to international supervisor institutions’ new requirements and tendencies.
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