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Research on the Improvement of Risk Control Index System of Securities Companies

Chenbang Hu

Abstract


 With the deepening of the reform of the financial industry, regulatory agencies have not strictly controlled in accordance with the regulatory system. In the face of the ever-changing market environment and the continuous upgrading of the securities industry competition pattern, innovation and development ushered in new opportunities, but also brought some difficulties to the implementation of risk management measures in China. In addition, the development of new Internet economy features. Because the securities companies have not adapted to the new liquidity characteristics, they are insufficient to cope with the new liquidity risks. In addition, the financing channels of securities companies are single, without a good combination of financing channels, it is easy to bring greater risks. Secondly, the imperfection of internal control system and the lack of awareness of risk management and control of employees themselves also bring a lot of trouble to securities companies in risk management and control. To solve these problems, we should start from the root causes, improve the internal risk control, and at the same time, we need to work in the industry. The content of risk management is added in the threshold examination of personnel, and it is used as the assessment content in the subsequent assessment, which urges the staff to take risk control as their own responsibility.


Keywords


Risk Management; Net Capital; Securities Company

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References


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Gu Y. Research on the improvement of current risk control index of securities companies (in Chinese). Seeker 2015; (10): 100–104.

Xing S. On the risk control of securities companies based on net capital (in Chinese). Times Finance 2014; (6): 164, 172.

Chen H. Problems and countermeasures in risk management of securities companies (in Chinese). Northern Economy and Trade 2018; (9): 89–90.

Chen S. Preliminary research on the risk management of my country’s securities companies (in Chinese). Money China 2016; (12): 52, 74.

Lin N. Reconstruction and improvement of the internal control system of Chinese securities companies (in Chinese). Southwest Finance 2013; (8): 50–54.

Guan L. Effectiveness of the risk control index system of securities companies (in Chinese). Theory Horizon 2008; (9): 207–208.

Teng Y. Liquidity risk management of securities companies under the new domestic supervision (in Chinese). Economic & Trade 2018; (12): 178–179.

Zhang R. Research on risk management of security industry [Master’s thesis]. Shijiazhuang: Shijiazhuang Tiedao University; 2016.

Yang X. Innovations and risk management of securities companies in China. Journal of China Executive Leadership Academy Pudong 2012; 6(3): 5–9.

Hou W. Financial risk control about listed securities companies of China [Master's thesis]. Beijing: Chinese Academy of Fiscal Sciences 2015.




DOI: http://dx.doi.org/10.18686/fm.v5i4.2779

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