摘要

在社會(huì)的經(jīng)濟(jì)活動(dòng)中，證券公司是通過對(duì)風(fēng)險(xiǎn)的管理而獲得利益，在尋求風(fēng)險(xiǎn)與利益的相對(duì)平衡中生存并完成其所承擔(dān)的社會(huì)經(jīng)濟(jì)職能。由此可見，風(fēng)險(xiǎn)時(shí)刻伴隨著證券公司，影響著證券公司的業(yè)務(wù)活動(dòng)。證券公司要想在當(dāng)前競(jìng)爭(zhēng)激烈、充滿風(fēng)險(xiǎn)的市場(chǎng)環(huán)境中求得發(fā)展，就必須對(duì)風(fēng)險(xiǎn)進(jìn)行管理。
本文在對(duì)國(guó)內(nèi)外證券公司所采用的風(fēng)險(xiǎn)管理比較分析的基礎(chǔ)上，研究了光大證券上海xx營(yíng)業(yè)部的風(fēng)險(xiǎn)管理現(xiàn)狀。首先，闡述了論文的研究背景，其次介紹了關(guān)于風(fēng)險(xiǎn)管理的國(guó)內(nèi)外研究現(xiàn)狀，其次，介紹了關(guān)于風(fēng)險(xiǎn)管理的一些理論，第四，介紹了光大證券上海xx營(yíng)業(yè)部的發(fā)展?fàn)顩r、經(jīng)營(yíng)范圍以及營(yíng)業(yè)部所面臨的風(fēng)險(xiǎn)，第四，在國(guó)內(nèi)外學(xué)者研究的理論基礎(chǔ)上，依據(jù)風(fēng)險(xiǎn)管理等相關(guān)理論，對(duì)光大證券上海xx營(yíng)業(yè)部風(fēng)險(xiǎn)管理現(xiàn)狀進(jìn)行客觀的分析，提出了光大證券上海xx營(yíng)業(yè)部風(fēng)險(xiǎn)管理存在的問題及應(yīng)采取的改善措施。
關(guān)鍵詞:證券公司，風(fēng)險(xiǎn)，風(fēng)險(xiǎn)管理

The Study of Risk Management for
Guang da Securities Company
Abstract

In the economic activity of the society,the securities corporation acquires an
advantage through risk management,and seeks the relative balance of the risk and interest to survive and finish its social economic function.Therefore,the risk follows the securities corporation constantly，and influences the operational activities of the securities corporation. If the securities corporation wants to get development in present fierce competition,it must manage the risk.
The textual research object is to conduct riskmanagement of Guang da Securities Shanghai Century Road Securities Sales Department.First of all, described the research background, and second, introduced the domestic and international research on risk management situation, and then introduced the theory on risk management, the fourth, introduced the Century Road Shanghai Guang da Securities Sales Departments' business development , business Scope and risks , the fourth，In thecountry, both within and outside experts and scholars on the basis of theoretical study, based on risk management and other related theories, from the risk management and control, Guang da Securities Shanghai Century Road Sales Department's risk，and this risk management problems and measures to be taken to improve.Finally，This article describes the conclusion of the study,research and further research.
Key words:Securities Company Risk Risk Management