期货监管部门对期货经纪公司的风险监管——基于期货经纪公司净资本指标的分析  

Supervision Department’s Supervising to Risks of Futures Brokerage Companies——Analysis on Net Capital Indexes of Futures Brokerage Companies

作　　者：刘惠萍[1] 丰久宽[2] 

机构地区：[1]天津大学管理学院,天津300072 [2]山东经济学院,山东济南250014

出　　处：《当代经济管理》2005年第3期142-146,共5页Contemporary Economic Management

摘　　要：强化风险控制和监管是期货行业健康发展的基础和永恒主题。中国证监会推出的期货经纪公司监管报表和指标体系旨在加强对期货经纪公司的监管,防范和化解风险。但现实中这些规定可操作性不强,且多为事后监管,不利于风险的提前预警。本文结合我国期货行业的实际状况,通过对期货经纪公司“经调整的净资本”指标的分析和讨论,提出了一些可操作性较强的建议。It’s a fundamental topic for healthy growth to strengthen control and supervision of risks in futures trade. In order to reinforce supervising futures brokerage companies and preventing risks, Chinese Stock Supervision Committee expounded supervision report forms and index system, which have a bad serviceability and are ex-post supervisions against alarming of risks. Under the factual conditons in China Indexes of adjusted net capital about futures brokerage companies are analyzed and suggestions with good serviceability are expounded.

关 键 词：风险控制 经调整的净资本 应收保证金 应收风险损失款 应付保证金 风险准备 

分 类 号：F832.5[经济管理—金融学]