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China's Securities Companies Overall Risk Management System Issues

Posted on:2014-04-16Degree:MasterType:Thesis
Country:ChinaCandidate:R B YiFull Text:PDF
GTID:2269330425964583Subject:Financial
Abstract/Summary:PDF Full Text Request
From the year of2007, the impacts of the finance crisis are still serious. From the domestic part, before April30th2012, based on the regulation publiced by the China’s Ministry of Finance and SEC, there are over47corporations out of67having shortages of their internal management.Due to the change of economic environment and the development of the enterprise itself, the traditional internal management can no longer meets the need of enterprise. The need of risk management has already gone through every part of enterprise. In order to be able to effectively solve the enterprise demand for risk management, the construction of a comprehensive risk management has become an inevitable choice.For external regulation and their own development needs, FC company is actively seeking a comprehensive risk management system. Under this background, this paper analyzes the present situation of FC company, generalizing the whole elements in present construction of risk management and analyzing them in detail, and puts forward some countermeasures.This article mainly divides into six chapters to discuss and analyze FC company’s comprehensive risk management construction. The first chapter is the introduction, mainly discussed the background and significance of choosing this topic, the situation and achievement of the research on risk management theory from the domestic and international, and the thought and main content of this article. The second chapter mainly discusses the background, and the meaning and the elements of comprehensive risk management. At the same time, the chapter analyzes the current situation of comprehensive risk management. Chapter three analyzes the background of the practice of the FC company of building a comprehensive risk management, including the FC securities company’s historical change and development, the main scope of business, and the motivation and the whole thought of building a comprehensive risk management system. The fourth chapter assess the current comprehensive construction situation of FC company and analyze the differences. In this chapter, we divided the risk factors into the fundamental of risk management, the process of building quantitative tools and the further building of the risk management, according to maturity management mechanism. And detailed value and analyze from business processes, information systems, risk report, organization system, dynamic risk control indicators of net capital, market risk, credit risk, operational risk, liquidity risk, the risk concept, the assessment related to the risk and the risk strategy and preferences, for a total of12items. The fifth chapter gives out the improve measures based on the facts. The sixth chapter is a conclusion of the whole text.
Keywords/Search Tags:Comprehensive Risk Management, Security CorporationSystem
PDF Full Text Request
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