Research Of Control Risks Of Securities And Margin Financing Businesses In GX Securities

As a chiefly manner of deal on credit in securities market, securities and margin financing businesses is currently in the Pre-preparation phase. We aim at maximizing the positive impacts of the securities and margin financing businesses on promoting stock market healthy and orderly progress, widening the service sector of securities,enriching the manners of securities transaction. At the same time, securities and margin financing businesses does exist higher-than-usual risk, especially we are not yet experienced on this businesses. So the research of this business and risk management is very essential.This paper is based on the elaboration of the background and meanings of the securities and margin financing businesses and colligation the research production at home and abroad and overseas'securities market operation modes.And then, We argument the status of our country on this business. Here, we start with GX Securities as an example to discuss the necessity and feasibility to develop the securities and margin financing businesses,and go on to point out the risk we faced. Whereafter put forward the design of this business'risk management system and the measures of should be adopted. The author combine the chart and writing to bring forward the practicable advices and lays down specific policies and measures on network, client assumption, accounts management,management guaranty and securities in corpore, management of line of credit. Finally, every section not only can master in its own business,and also can checking on and supervising with each other. Accordingly,this paper establish an all-dimensional, multitiered risk control system of GX Securities'and provide a theoretical direction for the development of securities industry.