A Study On The Risk Control And Improvement Approach Of Securities Brokerage Business Of CC Securities Company

In China, the securities industry is still burgeoning. It has been only a little morethan20years since its birth. With the quick development of this industry, risk exists inall aspects of securities firms. The management and control of risk is the problem thatall the firms must think when conducting their business. Nowadays, because of theimbalance of the development of the securities industry, the brokerage business, fromits beginning, is still the mainstream business for securities firms. It has happenedsometimes in recent years that some securities firms were restructured or closed byregulating authorities due to improper risk management practice. The riskmanagement of the brokerage business is gaining more and more attention from allaspects of the securities market. The CC Securities is no exception. The brokeragebusiness is of great importance, with its yield contributing to a percentage of its firmwide yield. In recent years, because of the growth of other business lines, percentageof the brokerage business has declined, but it still stays at around30percent. Theperformance of the brokerage business directly affect the overall development of thewhole company.This paper studies the risk management system of the brokerage branch of CCSecurities, based on the previous research and practice, by using risk managementtheories, operations management theories, principle monitoring theories, throughtables, graphs, data and examples. This paper systematically study the riskmanagement of the brokerage branch of CC Securities.This paper is divided into five chapters. The first chapter is an introduction; Thesecond chapter describes the theoretical basis of this study risk management; Thethird chapter described in CC securities brokerage business at risk classificationmanagement situation and the measures taken; fourth chapter describes the CCSecurities Risk System pros and cons, suggestions for improvement; Chapter5conclusions and Outlook concludes the paper and put forward the need to payattention to the problem of risk management.The author conducts the system research based on CC securities brokeragebusiness risk management system, combined with the actual work, and strive toachieve in the brokerage business under the premise of risk control, carry out themaximum support brokerage business. How to balance the relationship between risk and business development at present and in the near future, become an urgent,long-term task, is also a long-term study.