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本文通过国内外对证券公司风险管理理论与实践成果的基础上，围绕 A 证
券公司创新业务的风险管理研究为主题，重点阐述了 A 证券公司的风险管理的
框架内容，通过 A 证券公司的实例对证券公司创新业务的风险管理体系进行详
细研究和论证。A 证券公司成立于 2002 年，是一家在国内具有一定规模的综合
性证券公司，是中国证监会注册的保荐机构，曾首批获准参与股权分置改革试
点。A 证券公司也是如此，在证券市场逐步开放，市场竞争日益激烈的今天，
风险管理的成败，严重影响着公司的总体发展。但 A 证券公司在创新业务的风
险管理还存在着一定的问题，现状不容乐观：一方面，A 证券公司忽视风险盲
目追求高收益的冲动仍然存在，由此形成的粗放型经营容易使内部控制机制在
运行中由于人为逾越导致失效；另一方面，各类创新业务的发展，使得原来的
风险管理制度处于相对滞后状态，难以对新业务风险进行有效防范。本文从防
范风险和公司治理角度出发，以 A 证券公司风险管理现状为基础，通过对 A 证
券公司创新业务的风险管理方面存在的问题进行改进研究，从企业战略出发构
建全面风险管理体系，进而来探讨如何提高 A 证券公司创新业务的风险管理水
平，帮助 A 证券公司未来制定更可行的战略目标
关键词：证券公司；金融创新；创新业务；风险管理ABSTRACT
II
ABSTRACT
With the reform of the domestic securities industry development, business
innovation development, accelerate the pace of business diversification, the business
structure of the domestic securities industry in the traditional business oriented will
have enormous changes, opportunities and challenges for the risk management of
securities companies. For securities companies, on the one hand, business innovation
and diversification, on the other hand to strictly control financial risk management.
Whether it is the innovation and development or risk management, is for the
sustainable development of the securities company, the birth of new business
products, will require a new starting point for risk management and matching in this
paper to determine.
In this paper, domestic and foreign securities companies risk management
theory and practice based on the results of the research topics of risk management
around A securities business innovation, expounds the framework of risk
management of A securities company, through the example of A securities company
to the securities company&39;s innovative business risk management system research
and demonstration in detail. A securities company, established in 2002, is a
comprehensive securities company with a certain scale in China. It is a sponsor of
China Securities Regulatory commission. A securities company is also the case, the
gradual opening of the securities market, the increasingly fierce market competition
today, the success or failure of risk management, a serious impact on the overall
development of the company. But the A securities company risk management
innovation in business there are still some problems, the status quo is not optimistic:
on the one hand, A securities companies ignore the risk of blind pursuit of high
returns. There are still extensive management, thus easy to make internal control
mechanism in the operation of the Passover due to human failure; on the other hand,
the development of various types of business innovation, the risk management
system in a relatively backward state, it is difficult to effectively prevent the risks ofABSTRACT
III
a new business. This article from the perspective of corporate governance and risk
prevention, risk management status of A securities company as the basis, to improve
research through the risk management of A securities company&39;s innovative business
problems, starting from the enterprise strategy to build a comprehensive risk
management system, and discusses how to improve the risk management level of
business innovation A securities companies. Help A securities company&39;s future
strategic goals more feasible.
Key words: securities companies; financial innovation; innovation bussiness;risk
management目录
IV
目 录
第 1 章 导论.....1
1.1 选题背景 .1
1.2 选题意义 .2
1.3 国内外研究现状 .3
1.3.1 国外研究现状 ..........3
1.3.2 国内研究现状 ..........4
1.4 研究内容和方法 .5
1.4.1 研究内容 ......5
1.4.2 研究方法 ......6
1.5 论文的创新之处 .6
第 2 章 相关理论概述.8
2.1 金融创新及证券公司创新业务概述 .....8
2.2 证券公司风险管理理论 .9
2.2.1 IOSCO 关于证券公司风险管理的界定 ......9
2.2.2 全面风险管理理论 10
2.2.3 证券公司全面风险管理框架 ........11
2.3 证券公司风险评估方法 ...........13
第 3 章 A 证券公司创新业务的风险管理现状 .......15
3.1 A 证券公司基本情况 ....15
3.1.1 公司概况 ....15
3.1.2 风险管理基础建设 16
3.1.3 创新业务类型 ........20
3.2 融资融券业务风险管理 ...........21
3.2.1 风险管理体系 ........21
3.2.2 风险控制 ....23
3.2.3 风险事件 ....24
3.3 资产管理业务风险管理 ...........25目录
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3.3.1 风险管理体系
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