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Legal Researches on Financial Holding Company’s Internal Risk Prevention Mechanism

Author: ZengLi
Tutor: TanLiRong
School: Southwestern University of Finance and Economics
Course: Economic Law
Keywords: Financial Holding Company Internal risk prevention mechanism
CLC: D922.28
Type: Master's thesis
Year: 2008
Downloads: 119
Quote: 0
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We must strengthen nowadays China’s financial holding company’s internal risk prevention mechanism. By analyzing some practical experience abroad, we can get a conclusion: many countries didn’t make“internal risk protection legal system”as a legal request. But in China, with the present practical situation of financial development and the self-discipline of organ crew, internal risk prevention mechanism must as a legal request and become an important content in the supervision inspection. If not, this prevention mechanism won’t be attached importance by financial industry, and the perfect system design will become formalistic. Now, China’s financial power structure, manage mechanism and some financial agencies still have the blemish of“officer’s basis”, so there is the impulse of pursuing high risk and high income. Thus, internal risk prevention mechanism should be strict and should make the supervision authorities’ mechanism requires as an important content.But for the basically principle and frame, supervision authorities also need design the concrete supervision index sign for financial holding company to guide and control financial institutions’ concrete risk management. So supervision authorities should make concrete dictates on risk management’s policy, frame, contents, index sign and methods etc. In order to make financial holding company reduce risk, strengthen risk management ability and with the activity to ensure relevant capital adequacy, according to the risk situation, risk management ability, and capital adequacy of financial holding company, supervision authorities should set up different internal risk protection legal system.This paper has five parts: part one defines financial holding company’s internal risk and conclude its features and types .Part two analyse financial holding company’s internal risk prevention mechanism’s theoretical basis.Part three discuss other countries financial holding company’s internal risk prevention mechanism.Part four discuss our country’s present situation for financial holding company’s internal risk prevention mechanism’s.Part five point out if we want to improve our financial holding company’s internal risk prevention mechanism, what we should do.

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CLC: > Political, legal > Legal > Chinese law > Financial Law
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