Risk Management System Design For Securities Corporations In China

There is a natural link between securities and the risk. Risk management of securities companies always been core of finance industry. The United States broke the sub-prime crisis in 2007, the crisis led global economy into recession. Traced the roots of the crisis, ineffective risk control of investment bank is the major factor. The securities company's risk management has pushed to the cusp. once again.As the financial globalization and the development of capital market in China, the securities companies have been the rapid development as well as facing more risk factors. China's capital market is not mature, the capital control system is incomplete, securities companies internal risk management system is not perfect, so the establishment of China's securities company's risk management system has become increasingly urgent.It is necessary for risk management of securities companies to establish a risk-oriented strategic management system that includes corporate culture, organizational structure, corporate governance, information system construction to deal with the market uncertainties. Strategic risk management framework is based on the analysis of China's securities company's risk status. It also covers various types of risks.On this basis, in this paper, I analysis the business processes of securities companies including self-service, asset management business, underwriting business and innovation business, etc. exposing the exposure points of risks of securities companies. According to the principles of scientific and feasibility, the risks of securities companies are classified as operational risk and market risk the paper establish risk assessment indicator based on the business dimension of securities companies. Market risk assessment indicators can be obtained through specific financial data and operational risk assessment indicators can be obtained through the AHP analysis and MATLAB software.In short, the paper strives to deal with the practical problems in risk management of our country's securities firms adhering to systematic, scientific and easy-line principles.