证券公司风险控制指标体系完善探讨  

Exploring the Improvement of Risk Control Index System of Securities Companies

作　　者：梁稆 LIANG Lyu(Guodu Securities Co.,Ltd.,Beijing 101399,China)

机构地区：[1]国都证券股份有限公司,北京101399

出　　处：《商业观察》2023年第24期25-28,56,共5页BUSINESS OBSERVATION

摘　　要：随着我国社会经济发展进入新阶段,社会经济建设形势发生较大变化,金融市场体系改革工作也处于不断深化状态,这就使得我国证券行业业务经营模式逐渐朝着多元化、集团化方向转变。在此背景下,内部风险管控成为当前证券公司发展中面临的主要任务,构建更加完善的风险指标体系,促进风险管理实效性不断提升成为当前证券行业的改革重点。同时从实际发展角度分析,过于严格或宽松的管控体系会导致证券行业发展出现被压制或无节制扩张的两种极端。由此,确保风险控制指标体系合理才能为证券行业稳健发展提供必要支持。基于此,文章将针对证券公司风险控制指标体系相关内容进行研究,希望为证券公司发展提供参考意见。In the current context of China's social and economic development into a new stage,the social and economic construction situation has seen a relatively significant change.The reform of the financial market system is also in a state of continuous deepening,which makes the business operation mode of China's securities industry gradually change in the direction of diversification and conglomeration.In this context,internal risk control has become the main task facing the development of securities companies,and the construction of a complete risk index system to promote the effectiveness of risk management has become the focus of the current reform of the securities industry.At the same time,from the perspective of practical development,an overly strict or loose control system will lead to two extremes of suppressed or uncontrolled expansion in the development of the securities industry.Thus,ensuring a sound risk control index system can support the sound development of the securities industry.Based on this,the risk control index system of securities companies will be studied in this paper to provide reference opinions for developing securities companies.

关 键 词：证券公司 风险控制指标体系 完善措施 

分 类 号：F832.39[经济管理—金融学]