南京证券公司风险管理的研究.pdfVIP

摘 要 证券公司面临的风险复杂化程度的不断加大是由证券市场外部环境的重大变化和行业竞争 的日益激烈造成的。因此证券公司经营管理的核心内容就是风险的管理，它是证券公司稳定发展 的最根本保障。因此，证券公司要想在充满竞争和风险的市场环境中求得发展，就必须对风险进 行管理。如何通过风险管理防范和化解各种风险己成为证券公司生存和发展的第一要务，加强我 国证券公司风险管理仍是一个有待深入研究的领域，从理论和实际上都是值得研究的重要课题之 一。 本文以南京证券公司的经营业务的风险管理为研究对象。首先，分析了证券公司风险和风险 管理的相关理论，通过对国内外证券公司风险管理的比较，阐述了它们之间的差距和我们从中可 以借鉴的经验。然后，介绍了南京证券公司发展的概况、业务经营范围、风险管理的目标和原则 及风险管理的步骤。笔者通过对南京证券有限责任公司的经营风险管理系统进行认真调研，分别 从经纪业务、投资银行业务和资产管理业务面临风险的类型、来源、风险管理的现状和存在的问 题进行了较为深入的实证研究和理论研究，并根据南京证券经营业务风险管理存在的问题提出了 相应的防范措施和对策建议。 关键词：南京证券，风险管理，改进措施 Abstract Securities market major changes in the external environment and the increasingly fierce competition in the industry, securities male Company risks in more and more complicated. So the risk management can be said to be securities company Management is the core content of the securities firm, the most fundamental guarantee stable development. Therefore, the securities company wants to full of competition and risks in the market environment, we must seek development of risk management. How to prevent and dissolve the risk management through various risks of securities companies, has become the first priority of survival and development, strengthening our country securities company risk management is still a more thorough research field, theoretically and practically all is one of the important topics is worth studying. Taking Nanjing business of the securities firm risk management as the research object. First, analyzes the risks of securities companies and risk management related theory, through the domestic and international comparison of securities company risk management, expounds the gap between it and we can learn from the experience. Then, this paper introduces the development s