我司面临的险及v.docVIP

我国证券公司面临的风险及防范 摘要 随着近年来我国金融市场的逐渐成熟和不断发展壮大，我国证券公司的数量和规模也日渐增多和庞大。但是，扮演着证券投资者、证券行业服务者和中间商等多个角色的证券公司面临着来自多方的巨大风险和潜在挑战。在证券公司的整个运营机制中，证券公司的风险管理是其核心竞争力的重要组成部分。只有有效地管理和规避风险，才能保证证券公司的正常运行和持久发展。由于我国证券行业的发展起步较晚、速度较快，现阶段我国各证券公司把经营重点放在扩展业务范围和经营规模上面，专注于增加收益，而忽略了风险控制和管理这一重大前提，导致我国证券公司面临许多不利于持久发展的潜在威胁。因此，探讨如何有效控制证券公司的运营风险并且对其加以防范，不仅具有理论意义，更是我国乃至世界范围内证券公司安全正常运行、金融市场稳定发展的实践需要。本文结合我国证券公司的发展现状、风险种类和国外证券公司风险管理的经验，对我国证券公司面临的风险进行分析、概括和总结，提出了证券公司风险管理的建议和方法，更好地服务实践。 关键词：证券公司 风险管理 对策研究 Abstract With the development of Chinese financial market, the number of security companies in China is increasing rapidly and the scale is expanding. However, the security companies playing the roles of security investors, security servers and brokers are now facing a variety of risks and potential challenges. During the normal running process, risk management is an important part of the competitiveness of a security company. Only avoiding and managing the ventures effectively, can security companies develop well and last long. Since the fact that securities start late and develop fast in our country, security companies in China put emphasis on broading business and earning profits, regardless of venture management. It results in both adverse impact and potential threats on the advancement and progress of security companies in China. Therefore, it is not only theoretically meaningful, but also necessary for the security companies worldwide to run and operate normally. This discourse discovers a series of strategy to deal with the risks, according to the research of correlated investigation production and our practiced complexion, with the foundation of material analyzing risk cause of formation of Chinese companies, in order to supply plummy serve for the practices. Key words: security companies, risk management, countermeasure research  目录 导论…………………………………………………………………………………1 我国证券公司风险的种类……………………………………………………1 （一）市场风险…………………………………………………………………1 （二）流动性风险………