Research On Risk Management Of Brokerage Business Of Security Company H

From August 2004 to August 2007,China Securities Regulatory Commission carried out comprehensive management work in the whole industry.Because the risk management of brokerage business is not in place,there are more than ten securities companies that have been shut down and managed.In 2010,14 securities investment consultants were punished by China Securities Regulatory Commission for violation of securities advisory.In 2015,6 securities analysts were punished by the Securities Association of China for their nonstandard wording and indiscreet.12 securities companies such as CITIC securities were penalized by China Securities Regulatory Commission in 2014 for violating the margin trading regulations.In 2017,HaiTong securities and GuoXin securities were penalized by the China Securities Regulatory Commission due to margin trading violation.Four securities companies,such as HuaTai securities in 2016,were punished by the China Securities Regulatory Commission for failing to review the regulations and understand the true identity of investors.Therefore,the margin trading business,the appropriate management of investors and securities investment consulting business have become the main reasons for the high risk of securities companies.In this paper,the brokerage business of securities company H as the research object,through the literature research,in-depth interview method and theoretical with practical research methods,after briefly introduces the basic situation of securities company H,focusing on the systematic research on the risk of brokerage business of securities company H.This paper expounds the current situation of brokerage business risk management of securities company H and points out the main problems existing in it,based on a mature risk management framework,Firstly,classification the risk of securities company H,including investor appropriateness business risk,margin trading business risk and investment consultancy business risk.Then,qualitative and quantitative methods are used to evaluate the risks of brokerage business of securities company H.Next,this paper puts forward corresponding countermeasures and control measures for the risk of appropriate business,margin trading and investment consulting business in brokerage business of securities companies H.Finally,the conclusion and prospect of this paper.