The Securities Company Risk Management Studies

Securities incorporation is the kind of financial institution that dealing in risks, taking risk management as its basic operation. Risk management is the process to identify, measure, transfer, disperse and control kinds of risks, which focus is to measure the fluctuating range of the financial instruments true for the purpose of establishing effective system restrictions. From the point of view of the history and status quo of the securities industry development, securities company must pay much attention to the risk management in order to attain sustainable development, as high risk is the inherent characteristic of this industry. With the enaction and implementation of the Security Law, Company Law and many other relative laws such as Securities Company Supervision Statute, Securities Company Risk Disposition Statute, Public Company Regulation Statute and Investors Protection Statute, a new legal circumstance is being established. Under this new circumstance, how to use the experiences of the risk management in foreign investment banks for reference? How to sum up the lessons and advance the level of risk management in our country? These are all the questions we need to tackle seriously.This paper makes an analysis on the risk management of the securities company. Through the studies on the category of risk management, risk identification and measurement, risk management evaluation, together with the applying experiences and managerial techniques in foreign companies, the author puts forward that in order to increase the risk management controlling capacity, the securities companies in our country should strengthen the building of organizational system and internal risk controlling system, improving the handling level of risk management technical tools. It is an urgent task to form and consummate the risk management system in securities company for increasing its competitive ability in the furious market competition.