Research On The Risk Management Of Southwest Securities Corporation

In the economic activity of the society, the securities corporation acquires an advantage through risk management, and seeks the relative balance of the risk and interest to survive and finish its social economic function. Therefore, the risk follows the securities corporation constantly, and influences the operational activities of the securities corporation. If the securities corporation wants to get development in present fierce competition, it must manage the risk.The research object of this paper is the risk management of Southwest Securities Corporation. It analyses the relevant theories about the risk and risk management of the securities corporation, and probe into the current situation of the risk of the securities corporation of our country, the characteristic of the risk, and the current situation of the risk management. Secondly, it introduces the development and the operation range of Southwest Securities Corporation. Thirdly, it analyses the current situation of the risk management of Southwest Securities Corporation base on the past Chinese and foreign documents, the basic theories of the risk management, and myself working and studying experiences for a long time. Then, it analyses the goal, principle, organization and system of the risk management of Southwest Securities Corporation. Finally, it studies the main measures of the risk management of Southwest Securities Corporation: strengthen the consciousness against risk, manage safely strictly, set up three control lines, fix the business system, take precautions against the strategic risk, the investment risk management, the operation risk, the self-operation risk, the fund manage risk and technology risk.The subject matter existing in the risk management of Southwest Securities Corporation are that the sense of risk has not totally set up in the whole company yet, the inside control becomes a mere formality in some branch companies, and there are some phenomena in violation of rules and regulations. The risk management dynamics is not enough. When the securities corporation launches every business, the supervision can't play a due role. The goal of the risk management of Southwest Securities Corporation is to establish the philosophy and style of the standardized operation and safe management, to improve the managerial skill and managerial ability of the risk constantly, to guarantee that the trustee's legitimate rights and interests are maximized on the premise of taking precautions against the risk effectively, to set up the effectual mechanism and system of the risk management, to impel company'smanagement strategy and operations objective to be realized, to maintain the good prestige and image of the company, and to establish the legal person's mechanism subject and known brand of" winning the confidence of the market, winning the confidence of the society, winning the confidence of investors ". Southwest Securities Corporation needs to make the operation flow as the leading factor while implementing the risk management, and take five steps of the risk discernment, the risk assessment, the implementation of the risk management measures, the control of the risk management system, the improvement of the risk management system.The result of the research of this paper has not only the importance practice value to the risk management of Southwest Securities Corporation, but also the sure reference value to other securities corporations.