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Securities Invest Dealer Risk Administer Research at Present Phase in China

Author: LiZuoQiang
Tutor: ZhangLiRong
School: Central China Normal University
Course: Administration
Keywords: At the present stage Brokerage risk Brokerage risk management
CLC: F832.5
Type: Master's thesis
Year: 2001
Downloads: 114
Quote: 0
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Abstract


Along with the reform and opening up and the pace of modernization , China 's securities market gradually grow up. 11 years, under the guidance of Deng Xiaoping Theory , in accordance with the \socialist market economy, an important part. Brokerage as an important participant in the securities market , the healthy development of the stock market is essential. In recent years , the majority of brokers in the specification management, improve management, strengthen internal control on both a lot of work , especially in risk management to varying degrees, a lot of useful exploration . Some large brokerages such as Guotai Junan has established a more systematic risk management system, to guard against market risks has played a good role. However, it should be noted that our current internal management infrastructure brokerage is still relatively weak , preventing and eliminating market risk is relatively low, and to ensure the safe operation of the securities market , the healthy development of requirements there is a large gap. Therefore, a careful study of the risks and preventive measures brokerage stage , much to do , is of great significance . In this paper, the theory with practice , from the perspective of management studies at this stage of manifestation brokerage risk and its causes , and explore to improve and strengthen our risk management brokerage countermeasures. Paper is divided into three parts. The first part of the risk management brokerage theoretical interpretation . Discusses the meaning of brokerage , and business types ; brokerage and risk implication of intent . The second part , at this stage of the manifestations brokerage risk management analysis of its causes . Discusses the risks brokerage manifestations ; brokerage risk causes . The third part, to improve and strengthen our risk management brokerage countermeasures. Discusses the improvement and strengthening of risk management brokerage general requirements , the basic principles and main paths.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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