Research On Optimization Of Securities Company’s Risk Management System

Nowadays, with the rapid development of China securities market environment, the external risks and internal risks faced by domestic securities companies are becoming more and more complex. To ensure an invincible position in the competition in the securities market, the major domestic securities companies need to give full attention on market risk management work. And the market risk management work is also the key factor for the securities business development and market efficiency. The G company is a large integrated securities business marketing business in the domestic securities market, it is facing a relatively severe risk management issues in recent years. In this thesis, the problem of the optimization and improvement the risk management system in G company is researched and studied deeply, and the targeted optimization measures and recommendations is proposed in the mean time. In the study work, the basic theory of the basis of risk, risk management, and risk management of securities companies is researched and studied firstly, and then the problem of construction work of Securities Company’s risk management system is research from the point of the whole industry. And at the mean time, the risk management status and problems of G company is studied and surveyed in detail. On the basis of the above work, the key issues to be resolved in this thesis are proposed. And in the research work of this thesis, the 8-16 event is researched as the typical risk management case of G company, by the above case analysis and study, this thesis explored the unscientific and need to be perfected in the G company’s risk management system. Finally, on the basis of the theory research work of securities market risk management work, the targeted improvement suggestions and measures are proposed, including a system optimization principle, supporting cultural system, internal management organization structure optimization and segregation of duties, the level of information management systems to enhance risk management and other aspects of early warning system, etc. Through the research work of this thesis, it has a positive role in the enhancing and promoting the quality and efficiency of the G company’s risk management system, while it also has some reference and reference value for other domestic securities companies to improve their risk management system.