Construction Of Brokerage Stocks Investment Risk Management System

As China's Securities market development and growth, Securities companies, only one of a business unit of bank 10 years ago, already become the main participants of Securities market. According to the China Securities Industry Association statistics show that, as of the end of 2009, there were 101 securities companies, with total assets reached 19899.46 billion, Net assets of 4734.33 billion, Net capital of 372.788 billion, total profit of 1184.13 billion.Securities companies' risk management is an important part of its core competitiveness. Stock investment as a important factor of securities company's operation, its risk management was extremely important. Therefore, How to effectively control the risks of stock investments become China's securities companies'problem that need properly resolving as soon as possible.This artile analyzes the type of Securities companies's stocks investment risk, performance and causes.And combined with case, compare China's securities companies 'risk management of stock investment with U.S. investment bank,analyze the problems of China's securities companies, summed up the U.S. investment bank brought about by the Enlightenment. On this basis, proposed the six key points to build China's securities companies'risk management systems of stock investment:Sound corporate governance structure, improve the stcks investment risk management system, optimize the stcks investment structure of the internal organization of risk management, the establishment of the stock index investment risk assessment and control system, improve the stcks investment risk management process, establish the risk of stock investment performance management systemIn short, the paper according a comprehensive analysis of the securities companies stock investment risk management, trying to give reference and practical guide to securities companies in China.