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本文首先针对风险、风险管理的定义以及内容进行了界定和分析，并且重点讨论了
内部控制理论、全面风险管理理论以及现货市场风险管理理论，为本文的研究奠定了理
论基础。然后以 XH 商品交易所为具体的研究对象，对 XH 商品交易风险管理现状进行
了研究。对 XH 商品交易所面临风险及风险管理现状进行分析后发现，XH 商品交易所
面临风险不仅包括外部的政策制度风险、交易信用风险、价格风险以及恶性竞争风险，
同时在企业内部也面临着做市商制度风险、资金安全风险、内部管理风险以及网络交易
安全风险等。针对这些风险，XH 商品交易所在风险管理方面主要采用了准备金制度、
持仓限额与大户报告制度、强制转让制度以及异常情况处理等风险管理措施。但是，在
实际的运营中，也暴露出了风险管理制度流于形式、缺乏严谨的风险管理架构、缺乏完
善的风险识别机制、缺乏有效的风险规避方法等问题，分析其原因主要包括 XH 商品交
易所风险防范意识薄弱、风险识别视野狭隘、风险度量方法陈旧、风险规避思维僵化等
最后，本文根据适度竞争原则、自律与外部监管相结合的原则、国情与国际惯例相结合
的原则以及定量分析的原则构建完善了 XH 商品交易所风险管理体系，形成了从风险目
标设定到风险评估控制再到反馈改进的完整的风险管理体系，并给出完善 XH 商品交易
所交易风险管理体系的保障措施
关键词：大宗商品交易；现货电子平台；风险管理；风险管理体系东北石油大学 MBA 学位论文
II
Research on the Risk Management of The
XH Merchandise Exchange
ABSTRACT
With the rapid development of market economy, commodity electronic trading market in
the status of commodity transactions continue to show, but due to low threshold access,
industry development is not standardized and other issues, leading to commodity electronic
trading market risk phenomenon, how to control commodity trading The risk of the market
and the ability to improve the risk management of the commodity exchange have become the
key problems faced by the enterprises.
In this paper, XH Merchandise Exchange as a specific object of study, XH Merchandise
trading risk management system were studied. This paper first defines the connotation and
content of risk, risk management, and focuses on the theory of internal control,
comprehensive risk management theory and spot market risk management theory, which lays
the theoretical foundation for the research of this paper. And then analyzes the current
situation of risk and risk management of XH Merchandise exchange. The risks faced by XH
Merchandise trade not only include external policy system risk, transaction credit risk, price
risk and vicious competition risk, but also face the market in the enterprise Business system
risk, financial security risk, internal management risk and network transaction security risks.
In view of these risks, the XH Merchandise Exchange has adopted risk management measures
such as reserve system, position limit and large reporting system, compulsory transfer system
and exception handling. However, in the actual operation, it also exposes the risk management
system in the form of lack of rigorous risk management structure, the lack of a sound risk
identification mechanism, the lack of effective risk aversion methods and other issues,
analysis of the main reasons include XH Merchandise trading Risk awareness is weak, risk
identification is narrow, risk measurement method is obsolete, risk avoidance thinking rigid
and so on. Finally, based on the principle of moderate competition, the principle of combining
self-discipline with external supervision, the principle of combining national conditions with
international practice and the principle of quantitative analysis, this paper constructs the risk
management system of XH Merchandise Exchange, and establishes the risk management
system from risk target setting to risk assessment Control and then improve the integrity of
the risk management system, and gives the XH Merchandise Exchange trading risk
management system to implement the safeguards.东北石油大学 MBA 学位论文
III
Key Words: commodity trading; spot electronic platform; risk management; risk
management system目录
IV
目录
摘要..... I
ABSTRACT......II
第 1 章 绪 论...1
1.1 研究背景及意义..........1
1.1.1 研究背景...........1
1.1.2 研究意义...........1
1.2 国内外研究现状..........2
1.2.1 国外研究现状...2
1.2.2 国内研究现状...3
1.3 研究内容及思路..........4
1.4 研究方法..........5
第 2 章 相关理论基础...6
2.1 风险及风险管理相关概念......6
2.1.1 风险的定义.......6
2.1.2 风险的分类.......6
2.1.3 风险管理的内涵...........7
2.2 内部控制理论..9
2.3 全面风险管理理论......9
第 3 章 XH 商品交易所风险管理的现状及存在问题..........11
3.1 XH 商品交易所基本情况......11
3.1.1 XH 商品交易所简介...11
3.1.2 XH 商品交易所面临的主要风险.......12
3.2 XH 商品交易所风险管理的现状及存在问题..........16
3.2.1 XH 商品交易所风险管理的现状.......16
3.2.2 XH 商品交易所风险管理存在的问题...........18
3.2.3 XH 商品交易所风险管理存在问题的原因分析.......20
3.3 完善 XH 商品交易所风险管理体系的必要性........21
3.3.1 企业顶层设计的需求...
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