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

Chen Hu
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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.
证券公司风险控制指标体系的完善研究
随着金融业改革的不断深入,监管机构并没有按照监管制度严格控制。面对瞬息万变的市场环境和不断升级的证券行业竞争格局,创新发展迎来了新的机遇,但也给中国风险管理措施的实施带来了一些困难。此外,互联网经济发展的新特点。由于证券公司尚未适应新的流动性特征,对新的流动性风险的应对能力不足。此外,证券公司融资渠道单一,没有很好的融资渠道组合,很容易带来较大的风险。其次,内部控制制度的不完善和员工自身风险管控意识的缺乏也给证券公司风险管控带来了诸多困扰。要解决这些问题,既要从根源入手,完善内部风险控制,同时也要在行业上下功夫。在人员门槛考核中增加风险管理的内容,并作为后续考核的考核内容,督促员工将风险控制作为自己的责任。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
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