证券公司风险控制指标体系适应性调整及影响研究——基于《证券公司风险控制指标管理办法》修订的思考  

The Adaptability Adjustment and its influences of Securities Companies Risk Control Indexes——An analysis based on Measures for the Risk Control Indexes of Securities Companies(Exposure Drafts)

作　　者：陈昊 

机构地区：[1]招商银行,广东深圳51800

出　　处：《浙江金融》2016年第6期62-69,共8页Zhejiang Finance

摘　　要：2016年6月16日,证监会正式公布《关于修改〈证券公司风险控制指标管理办法〉的决定》。本次修订旨在结合新形势下的风险管理需要,完善以净资本和流动性为核心的风险控制指标体系,提升风险控制指标的持续有效性,推动证券公司稳定健康发展。本文就本次修订内容进行专题研究,对修订可能造成的影响进行探讨,并提出证券公司风险控制应对策略。The Decision on Amending the Administrative Measures for the Risk Control Indicators of Securities Companies （CSRC Decree No.125） has been promulgated by the China Securities Regulatory Commission （ ＂CSRC＂ ） officially on June 16th, 2016. Under the new situation, on the basis of adapting to the needs of risk management, this amendment intends to build a more rational risk control indexes system which specifies net capital and liquidity as core indicators, and enhance the continuing effectiveness of those indicators, thereby promoting the stable and healthy development of the securities industry. In this study, it explores the possible influences of this amendment and the corresponding suggestions are given for further risk management of securities companies.

关 键 词：证券公司 风险管理 指标体系 修订 

分 类 号：F832.0[经济管理—金融学]