证券经纪业务操作风险管理问题与建议(有案例).rar

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摘要:我国证券市场繁荣发展了20年,历经了几轮牛熊市的转换。从2001年至2005年的熊市期间,不断爆出证券公司被接管、关闭或撤销的消息,而老牌券商南方证券的破产更是引起了不小的震动。证券公司如何规避风险,寻求在最小风险下的最大收益成为其首要经营目标。

    经纪业务是证券公司传统的业务,目前仍然占据很重要的位置,同时在经纪业务风险管理领域,最重要、最古老的风险因素莫过于操作风险。本文从当前国际金融界通常采用的操作风险衡量方法入手,研究和探讨我国证券经纪业务的操作风险管理。文章首先阐述了对证券经纪业务的操作风险进行识别的必要性,并梳理了证券经纪业务开展过程显著的风险点所在,并分析了产生这些风险的主要原因。然后通过对比国内外风险管理模式分析了目前国内操作风险管理的现状,并对某家国内证券经营机构进行了实例分析。最后,针对研究结果和案例分析的结论,提出了对证券经纪业务操作风险进行管理的对策和措施,即从建立合适的操作风险管理机构入手,完善证券经纪业务的操作流程为基础,用适当的操作风险衡量方法和技术,鼓励全员参与操作风险管理,将风险进时的报告和处置。

关键词:证券、经纪业务、操作风险管理

 

ABSTRACT:With the development of China's securities market, there have been several alternations between "bull market" and "bear market”. During the "bear market" from 2001 to 2005, many Securities were taken over, revoked or even closed, and the bankruptcy of South Securities brought about the sensational response in the market. Therefore, how to avoid risks and seek for the maximum revenue at the minimum risk is becoming the primary management target to Securities.

    Brokerage, as the most traditional business of Securities, is still the foremost business at present, where operating risk is the most serious and obstinate problem to tackle. This paper is keen on the study of operating risk management of Securities in brokerage business on the basis of the usual measuring method of international finance. Firstly, the paper introduces the necessary of identifying operating risk and the main types of risks, meanwhile, generalizes the main types of risk and analyses the reasons. Secondly, comparing to the international and Chinese models of operating risk management, the paper draws a conclusion, which is verified by some Security in China. Thirdly, the paper brings up some advices and suggestions to the operating risk management, including establishing a operating risk management Department, perfecting the system of brokerage business, adopting appropriate measuring methods, constructing a proper system to insure the timing of report and disposal, and encouraging everyone to participate into the work of operating risk management.

Keyword: Securities, Brokerage, Operating risk management

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