A Securities Company Investment Banking Risk Management Research

Under the condition of the high-speed business development, if you don’t pay attention to risk management, risk accumulated quickly, once the outbreak of the consequences. In this paper, from the viewpoint of project risk management, investment banking, through risk identification, risk analysis, risk response, risk monitoring and control of the risk management process to implement effective investment banking risk control, trying to raise the level of investment banking risk management and project success rate provide some train of thought, and try to work for ongoing investment banking special projects to provide a risk management mechanism design ideas and framework.This article will with the experience of western developed countries investment banking risk management as the frame of reference, to our country investment banking risk management theory and method of research, for architecture with Chinese characteristics, safe and efficient operation of risk management system to provide theoretical basis. Considering the various business risk management mechanism is a comprehensive monitoring system, a lot of discussion is not conducive to the further study of the problem itself.Research, this paper first defines the relevant concepts and introduces the relevant theories, such as risk, risk management, risk management theory, the thought theoretical basis for later research. Second, to brief introduction of A securities firm, detailed analysis of the current situation of the development of investment banking, and the development of investment banking risks. Once again, targeted investment banking at A securities company risk management status information. Then, on this basis, A securities company investment banking risk management policies and processes are analyzed, to discover its investment banking risk control in the existing problems, and further analyses the reason of the problem, its investment banking risk control analyzes the cause of the problem, and to evaluate its investment banking risk control. Finally, on the basis of the above analysis, this paper constructs the strengthening of A securities firm investment banking risk control strategy system.The innovation of this paper lies in:the perspective of innovation. In the domestic existing research, the investment banking and the integration of risk control, the research and applied to specific securities firms is less. On the basis of the study only, this paper tries to build the basic theory of integration of the theory of two phase structure, so as to provide theoretical reference for the future related research; The innovation of the research subject. In this paper, A securities company as an example. In its internal to the investment banking risk control framework, a detailed analysis, and according to the characteristics of the securities company and the environment, has put forward to the corresponding countermeasures. To A securities company in the process of its future development, for its provide certain reference for the investment banking risk control aspects; By using the method of risk management is introduced into the investment banking and comprehensive monitoring in the whole process. At the same time, according to the actual situation of the securities company, investment banking risk control for the whole industry promotion way to give the answer, has put forward to corresponding countermeasure and the suggestion, expect to have universality, to promote sustained, healthy development of the securities firm, and cultivate the competitive power.