The Research On The Risk Management Mechanism Of Securities Corporations

Establishing and consummating ceaselessly the risk management system of securities corporations,it's not only a systems engineering in practice,but also needs be reviewed and researched in theory,then we can judge it accord with rule and logic. Based on the fact of risk management in stock trade in China,this paper researches the construct of the risk management system in securities corporations elementarily in China,according as the principle of combining theory and practice.The risk has lots of characters. Reviewing the risk management in securities corporations,it needs start with the risk phenomena and the generic rule of risk exercise,and grasp the essence of risk management. The risk what stock trade affronts is a special behave that common risk represents in the stock field. So,in order to structure the risk management system in securities corporations,it's very important to review and analyze gradually the risk main body in stock trade,risk environment,managing feature and the actuality faced in daily actions,it also important to review and compare the risk management process in stock trade in China and beyond the sea.Consummating the risk management in securities corporations is a systems engineering. It must advance and bring into effect according to external environment and internal conditions. Structuring this systems engineering should include risk management flow,classify,framework and the method,approach,tools etc. of risk management. Furthermore,creation is very important to risk management in securities corporations,especially the innovation-oriented risk management system with the risk-remuneration mechanism as the card,is a kind of fundamental breakout to the past inner-control risk management mechanism. This practice provides certain hints on the future risk management.In the part four of the thesis,the author makes a relatively all-round analysis with substantial evidence of how to carry out the risk management in the face of different specific businesses,and also puts forward some principles and some specific measures in the risk management accordinglySecurities industry is a very risky industry with the character of strong flowing and fast changing. This determines that securities corporations' risk management must be a gradually rising course. Therefore,the buildup of securities corporations' risk management can't be a matter settled only by one supreme effort. The risk management should be adjusted and innovated according to the changes of the exterior enviroment and the corporations' own conditions in order to meet the requirement of the development of the industry.