論我國證券公司經營風險控制.pdf

1、武漢理工大學碩士學位論文論我國證券公司經營風險控制姓名：盧俊申請學位級別：碩士專業(yè)：工商管理指導教師：王恕立2001.3.1』f■墊堡嬰：!；叁蘭堡：蔓蘭堡壘苧——ABSTRACTAsoneofthemainbodiesofChinesesecuritymarket，investmentbanksactasbridgebetweeninvestorsandborrowers，andtakeonthedutyofhelpingenterp

2、risestogopublicSothehealthydevelopmentofinvestmentbankslSimportantforn他stationarydevelopmentofChinesesecuritymarketEngaginginhighriskbusinessinvestmentbanksIivewithriskWiththeextensionofinvestmentbanks’business，theiroper

3、ationofeveryaspectwillfacemoreandmoreriskBuildinguppemctriskcontrolsystemiSimportantfortheinvestmentbanks’ownperformance，andthebenefitofmanyinvestors，andthestationaryanddevelopmentofthewholesecuritymarketRiskandriskcontr

4、olarewhattheinvestmentbanksshouldfaceseriouslyThispapertriestoanalysisthecharacterclassifycauseofinvestmentbank’smanagementrisk，andstudythelessonofforeigninvestmentbanks’losingcontrolofmanagementrisk，andadvicefortheriskc

5、ontrolofChineseinvestmentbanksThewholePaDercontainsfivechaptersChapterlsummarizesthedevelopmentofChinesesecuritymarketandinvestmentbanksIntroducethegenerationanddevelopmentofChinesesecuritymarketfirstly，andintroducethege

6、neration，developmentandcmTentstatusofChineseinvestmentbanksChapter2introducesIhecharacterandclassifyofChineseinvestmentbanks’managementrisk，andanalysisthegenerationandrepresentationofinvestmentbanks’managementriskChapter

7、3introducesthepurpose，meaningandmethodmanagementofriskidentification，analysisandestimationChapter4introducestherequirementforinvestmentbank’SmanagementriskCOntrolofinternationalanddomesticsupervisiondepartmentsSummarizet

8、heSuccessfoIexperienceofAmericaninvestmentbanksinmanagementriskcontrol，andadviceforthemanagementriskcontrolofChineseinvestmentbanksChapter5discussestheproblemsofmanagementriskcontrolofChineseinvestmentbanksAdviceforthein