Financial Risk Control Analysis Of A Securities Company

The economy and financial situation is becoming severer than ever.As a financial intermediary,Securities Companies,affected by multiple factors,are more sensitive to the macro-economic environment and they are facing greater uncertainty at the same time.In the face of uncertainty,the risk control ability of Securities Companies plays a key role,and the financial risk control ability is the core of it.Therefore,the study on the risk control ability of Securities Companies has its own certain theoretical and practical significance.This paper takes the risk control system of A Securities Companies as the research object,aimed at the specific situation and actual characteristics of its financial risk control,using the method of combining analysis,normative analysis and quantitative and qualitative analysis,systematically analyses and evaluates the control of financial risk.This paper through the analysis of financial risk control of A Securities Companies,learn its experiences,to provide forward-looking opinions and suggestions for financial risk control of Securities Companies.This paper consists of four chapters.The main contents of each chapter are as follows:The first part is the introduction,which mainly expounds the research purpose and significance of this paper,and reviews the literature on financial risk control at home and abroad.This part also describes the research framework of this paper,and summarizes the innovation and shortcomings.The second part is the main concepts and analytical framework of the case.This part the concepts of financial risk and financial risk control of securities companies,and put forward the analysis structure of this case and the main manifestations of financial risks of Securities Companies.The third part is analysis on financial risk control of A Securities Companies.This part studies the actual situation of A Securities Companies,analyses the basic situation of A Securities Companies' financial risk and financial risk control,studies the design of the financial risk control system,and clarifies the basic ideas of its financial risk control.Then this part summarizes the process of controlling assets and liabilities risk,treasury risk and financial risk at business level.The fourth part evaluates the financial risk control of A Securities Company and summarizes the problems of the financial risk control system of A Securities Company.The fifth part puts forward some suggestions to solve them.The sixth part is the conclusion and outlook,which summarizes the research conclusions of this paper,and makes a prospect for further research directions in the future.After research,this paper argues that there are some problems in the construction of financial risk control system in A Securities Companies,such as lack of initiative,unclear responsibility of control link,weak risk control culture,lack of net capital management system,imperfect investment research and control system,and insufficient verification of financial risk measurement model.Therefore,this paper suggests that A Securities Companies should strengthen the study of advanced experience and improve the prospective of financial risk control.And besides,more attention should be paid to personnel training and staff risk education and training should also be strengthened.What's more,it's better to establish a net capital management system,improve the dynamic capital management mechanism;and use information technology to strengthen financial risk control.