Research On Risk Management Optimization Of Financing And Margin Financing Business Of Huatai Securities Company

The diversified development of securities market business helps to promote the development of securities market.In recent years,the development of margin trading business has played a great positive role in the liquidity of funds,the rationality of asset pricing and the effectiveness of capital allocation in China' s securities market,and has promoted the development of China' s securities market towards a more mature direction.The prosperity and development of margin trading not only brings about tens of billions of yuan of profits for securities companies,but also effectively increases market activity and investor participation and enthusiasm.Although margin trading has brought great benefits to securities companies and investors,its potential risks may pose a huge threat to the health and stability of the financial system.The best example is the leveraged bull" of 2015.Therefore,how to evaluate a series of risks existing in margin trading exchanges and how to manage these risks are still historical propositions to ensure the steady development of financial markets.Firstly,this paper makes a thorough analysis of the characteristics of margin trading business and its risk points,and introduces the relevant risk management theory.Secondly,taking Huatai Securities Company,which I work for,as an example,it introduces how the margin trading business of the company carries out business development and risk control,and on this basis,it analyses the margin trading business to Huatai from many aspects.Thirdly,through the analysis of the existing risk theory,the author uses expert technology assessment method,risk coordinate chart method and workflow chart to evaluate and analyze a series of risks in the securities financing and securities trading business of Huatai Securities one by one,and finds out the more significant risks from many risks.On the basis of identifying the relevant risks,the author writes.Combining with some deficiencies in the risk management of Huatai Securities,the author further analyzed the aspects from which to optimize the risk management capability of Huatai Securities Margin and Margin Financing Business.Finally,the author put forward the safeguard measures for the implementation of the risk management system optimization scheme of Huatai Securities Company' s Margin and Margin Financing Business.