Research On Risk Analysis And Coping Strategies Of Fund-based Outsourcing Business Of A Securities Company Based On Comprehensive Risk Management

In recent years,with the rapid development of national financial innovation,the rapid development of private equity industry,financial outsourcing services business has been lifted only to allow commercial banks to participate in the restrictions,securities companies,financial IT companies and other third-party independent institutions and other financial Institutions have also been allowed to enter the domestic private equity fund financial outsourcing services business.As a result,with the participation of new financial operators such as brokers,not only traditional commercial banks have brought new competitors in the fund's financial outsourcing business,but also to securities companies and other outsourcing services Fund service outsourcing business and improve the outsourcing business risk management launched a new challenge.Of course,the fund outsourcing business has also brought positive impact to domestic and foreign experts and scholars,we all began to pay attention to the business,and targeted to the brokerage and other outsourcing services to carry out the fund financial outsourcing business risk management and prevention research,But we also found that in recent years the relevant research papers is not a lot.This paper studies the risk management of fund outsourcing business from non-banking financial institutions such as securities companies from the point of view of the actual operation phenomenon of fund outsourcing business of A securities company.Securities companies and other financial institutions in terms of banks,first,the registered capital is very low(usually about one-tenth of the bank);Second,banks and other financial institutions because of their inherent advantages in the scope of outsourcing services(including But not limited to the fund category,valuation model,etc.)than the securities company more advantages,especially in dealing with special business scenarios,emergency situations;third is the bank institutions in the accumulation of years of service experience on the basis of its own bank technology And business innovation ability is more prominent,brokers need to have a long way to go.Specific forms of performance,we summed up the following points: 1,to raise funds security is not controlled,the deposit of funds is in the bank,but the corresponding financial risk or outsourcing institutions to bear;2,the allocation offunds based on banks 3,can not accurately estimate the risk of OTC investment products;4,the securities companies on the OTC investment supervision of the lack of the actual control of the risk of investment;3,the company can not directly control the risk of the investment;5,the high-risk nature of private equity funds,securities companies for private equity fund managers require a higher qualification,while the overall risk of business control is weak.At the same time,in the context of globalization,financial services outsourcing is developing rapidly.Most of the domestic fund managers through the non-core business(such as share registration,valuation accounting,etc.)outsourced to the financial services institutions to achieve operating costs of savings,focus on major forces and human resources development core business(such as: investment,research,Sales,etc.),the purpose is to focus on the development of financial institutions to focus on the core competitiveness.Based on this,the author of the article from the perspective of comprehensive risk management,through the domestic and foreign financial operations service outsourcing research,drawing on its experience in the risk management of fund outsourcing business,based on the discussion of the connotation of outsourcing model,Domestic financial outsourcing services business in the existence of the various risks,and these risks need to carry out the necessary analysis of the control program,thinking,put forward a targeted solution.At the same time,the article hopes for the securities companies and other outsourcing services to develop a number of fund financial outsourcing services business risk control measures to help brokerage fund operations outsourcing business services in the risk management capabilities to enhance the broker in the fund operations outsourcing services Market share.