商业银行兼营投行业务的防火墙机制研究  

Commercial Banks' Firewall Mechanism Construction between Investment Banking and Traditional Services

作　　者：束兰根[1] 刘涛[2] 

机构地区：[1]南京大学工程管理学院,江苏南京210093 [2]交通银行博士后站,上海200336

出　　处：《上海金融》2013年第6期108-111,共4页Shanghai Finance

摘　　要：本文旨在探讨商业银行在兼营投资银行等新兴业务时,如何通过防火墙机制来隔绝风险向传统业务蔓延。面对近年来我国商业银行纷纷涉足投行业务这一趋势,在比较美式"防火墙"和英式"围栏"两种风险阻隔机制的特点后,针对当前我国商业银行开展投行业务的四种组织形式提出了相应的防火墙机制设计路径。The thesis makes a tentative analysis on the ways of the commercial banks to wall off their traditional business from the risks via 'firewall mechanism' when they extend their business to investment.By comparing with the mechanisms of the American Firewall and the British Fencing,the thesis puts forward suggestions of China's firewall mechanism to the four ways of operation for commercial banks acting as investment banks.

关 键 词：商业银行 投资银行 防火墙 围栏 

分 类 号：F832.33[经济管理—金融学]