| This paper studies the domestic and foreign main risk management theory, including the early traditional risk management theory of the term structure theory, portfolio theory and Black-Scholes option pricing model, as well as the limited credit risk management theory in VaR model and risk management theory. At the same time on the basis of this analysis, Kaijian Capital Ltd to build investment risk management present situation, the existence of risk management culture is weak, lack of risk early warning system, not investing stage management, crisis response mechanism is not perfect wait for inadequacy. For this, the author in the domestic securities investment the prevalence of systemic risk types and non systemic risk categories for control, recommended the use of rate of growth of national economy, the domestic investment, the supply of credit funds and other8kinds of system risk recognition method and theory, Eliot band theory, drawing method non system risk identification method. By the author of the Kaijian Capital Ltd to build investment risk analysis and identification, suggested the construction of investment risk early warning system. The author thinks the risk early warning system should be representative, comprehensive sex, stability, sensitivity, comparability, complementary, comprehensive advantages in seven aspects, investment early warning system should contain a clear warning, finding warning sources, analyzing warning signs and forecasting warning degrees of four aspects of content, and according to the financial enterprise design characteristics of a set of early warning indicators. At the same time the author also directed Kaijian Capital Ltd to build investment stage management problems, recommendations according to their risk control organizational system, the organization, the Department’s responsibilities, investment risk management processes. The authors designed Kaijian Capital Ltd to build the investment process three section type management model, and strive to achieve compliance management in advance, business monitoring, supervision of inspection, investment risk control management from static to dynamic. In addition, the author also analyzes the Kaijian Capital Ltd to build operation may appear in standard single management, risk management training system, to prevent human excessive control, phase analysis and inadequate financial personnel not involved in the research of five problems, and puts forward the corresponding measures to reduce risks. Finally, in the conclusion and prospect author hope future can innovate and enrich the risk control means, to develop a more refined differential risk control policy to meet the needs of the development, and proposed according to the national five ministries jointly issued the " basic standard for enterprise internal control " and related guidelines, the establishment of enterprise internal control system. In addition to the company investment business, also respond to strategic management, financial management, procurement management, contract management and other enterprise management process also formulate the corresponding risk control system in order to establish the comprehensive risk management system. |
