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A Study of Fund Company’s Risk Management

Author: FanZhenHua
Tutor: ZhangWei
School: Tianjin University
Course: Business Administration
Keywords: Securities Investment Fund Risk Management Internal Control
CLC: F832.39
Type: Master's thesis
Year: 2010
Downloads: 119
Quote: 0
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Abstract


China 's securities investment funds in the last just a decade , from the scale , the number of varieties , occurred a huge change , add great vitality to the prosperity of China's capital market . However, securities investment funds must be studying the introduction of financial products , both regulators and investors also are fresh Affairs . Therefore, the rapid development at the same time , due to laws and regulations as well as supporting the internal risk control measures are lagging behind , there have been many risk events . Both external regulatory or internal control system has many problems to be solved and improved . The article from the external regulatory and internal control two aspects of sub- Xin fund management companies in China the current external monitoring system and internal control control system , and pointed out that the existing laws and regulations of the fund management company in China is imperfect, administrative supervision and industry self-regulation in the external regulatory system level defective capital markets capabilities imperfect ; fund management companies exist in the control system of internal control , the law several governance structure does not sound internal control system is not perfect , the system of executive power is not enough , the company organizational structure is irrational , the risk management system behind investment management of several issues of the shortage . Article by drawing on internal control and management experience of the United States as the representative of the mature foreign asset management industry , and how to make our fund management companies risk management capabilities , reference , such as external regulatory levels should improve the Fund Act to strengthen the administrative supervision to strengthen construction industry self-regulation , the establishment of a fund investor protection regime , the introduction of the fund management company exit mechanism ; internal control planing to build a good internal control environment regularly test the effectiveness of the internal control system , improve the independence of the internal control report , and improve the supervisory role of independent directors , inspectors inspectors role . Through the improvement of the internal and external control system of fund management companies to gradually increase the anti-risk ability of the fund management company , the better and more effective protection of the interests of fund investors . Provide foundation support for the continued prosperity of the fund market .

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial organizations, banks > Other financial organizations
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