A Study Of Risk Control Management For Fund Company’s Back-stage Outsourcing Operations

With deepening in social labor division and development of information technology, more and more enterprises have been paying attention to the outsourcing operations. The outsourcing operations have become a strategic choice and business process mode for gaining the competitive advantage, which is also one of the hot topics in global business community and theoretical circles. In order to improve their core competitiveness, more and more financial institutions choose to independent and outsource their back-stage operations, and focus their resource advantage and competence on core business areas. Fund companies in our country are also facing such a choice. However, the outsourcing of back-stage operations will bring the fund company some favors and business-related risks meantime. Thus, exploration and study of these risks and their control have a huge practical significance and value.From four viewpoints of fund companies, fund trustees, fund holders and back-stage operations contractor, this thesis analyzes and summarizes the relationship between them, and explores the risks faced by the back-stage outsourcing operations on this basis. By creating an appropriate risk matrix, the thesis identified the related risks through multi-angle measurement and sort, which provided a quantitative reference for the allocation of risk control resources. Under the premise of understanding and summarizing policies and measures for financial outsourcing services, the thesis has put forward risk control count measures from external supervision and internal control by the way of two levels and five angles for fund companies. Last but not least, this thesis also expects to contribute a force for the back-stage outsourcing operations for its smooth implementation.