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证券业是一个高风险行业 ,防范和化解风险是证券公司和监管机构的永恒主题。随着我国证券市场的蓬勃发展和逐渐规范 ,证券公司风险监控已经成为一项长期的重大任务。中国目前正处于新兴加转轨过程中 ,证券公司主要面临哪些风险 ?是如何形成的 ?在特定约束条件下怎样提高监控效率 ?围绕这些问题 ,本文首先对中国证券公司的风险及其成因进行分析 ,接着从实践的角度指出风险监控的现实约束 ,最后提出内外部风险监控协调与平衡的基本架构。
The securities industry is a high-risk industry. Preventing and resolving risks is the eternal theme of securities companies and regulators. With the vigorous development and gradual standardization of the securities market in our country, the risk monitoring of securities companies has become a long-term major task. How China’s securities companies face the risks? How to improve the monitoring efficiency under the specific constraints? On the basis of these questions, this article first analyzes the risks and causes of the securities companies in China, Then point out the practical constraints of risk monitoring from the practical point of view, and finally put forward the basic framework of coordination and balance of internal and external risk monitoring.