券商内部风险管理的三把锁

Three Locks of the Inherent Risk Management of Security Companies

在总结国外券商内部风险管理主要经验的基础上,分析了券商风险产生的诱因和形式,从系统工程的角度提出了抓好券商经纪业务,守好“制度、流程、风险点”三把锁的管理思路,建立“制度+流程+风险点”的管理制度体系的观点,为券商经纪业务风险防范和风险管理的实践提供参考和借鉴。

In this paper, based on the main experience in the inherent risk management of securities companies in the other countries , the cause and form produced by the risk of securities companies are analysed. According to the theory of system engineering , a managerial train of thought for doing business of securities companies and management three locks are presented: the regulation, the process and the risk point,namely a viewpoint setting up a management system on institutions for the regulations , the process and the risk point.The results this paper concludes can be directly used for the reference by security companies in the practice for the risk prevention and the risk management.