Study Of Clients' Capital Risk Management Of Qi Lu Securities Ltd.

Risk management is an important part of the administration of securities administrators, and the establishment of efficient and integrated system of risk management is the base of their durative development. In a long term, the western finance industry was focused on the evasion of risk. They chose proper patterns of risk management according to the business style and corporate culture; built precise risk management organizations and advanced quantitative risk management models; with the help of modern technology of information management, they formed well-structured, timely-monitored and under-controlled systems of compositive risk management and control. In order to improve the ability of market competition and risk resistance of native securities administrators, it is necessary to refer to the foreign successive experience, to constitute integral risk management systems, and to enhance the skills of risk management.Qi Lu Securities Ltd. of Shandong Province is a synthetic securities administrator, which has more than 30 subcompanies, and registered capital 812 million RMB. The company pays much attention to the risk management of clients' capital, and achieved a lot. But there are some shortcomings. In order to accord with the requirement of CSRC (China Securities Regulatory Commission), this paper analyzed the current clients' capital management of the company, designed new system of the risk management of clients' capital. So this thesis has great practical sense.This paper begins with the basic theories and relative laws and rules of risk management; introduces the conceptions, principles, and structures of risk management. Secondary, it analyzes the risk of the company's management of clients' capital, points out the importance of capital management improvement. Furthermore, analyzes the present situation of Qi Lu Securities Ltd. capital risk management, and accentuates the shortcomings and problems within the risk management. Then, with the learned professional knowledge, in this paper, I study...