证券公司资产管理业务中的风险及化解对策

The Solution to Security Brokers' Risks in Assets Management

资产管理业务特指证券公司的委托资产管理业务,此项业务的发展潜力巨大,但同时我们要充分认识到其中的主要风险,通过对混业经营风险、利益冲突风险、业务手段风险、人才缺乏风险、收益承诺风险、市场与非市场风险、突发意外事件的风险等主要风险的分析,并制定出建立有效控制风险的组织,完善配套的管理咨询业务,建立专业化、高层次的业务服务队伍,规范委托业务操作流程,改变委托理财的收费方式,建立危机管理体系,提倡业务创新等化解风险的对策。

Assets management is part of security brokers' businesses. It has a huge potential of development. But there is a need to take cautions against the inside risks. The paper analyzes these risks caused by a series elements such as nix-activities, income conflict, activity methods, lack of talents,fixed gain promise, market and non-market risks, emergency events. It is intended to find the solutions of protecting security brokers from being influenced by the risks stated above. The solutions include building up a risk control structure, developing consulting services, forming a professional and high quality team, reengineering the business process, altering the charge method, setting up a crisis management system, advocating revolution and innovation.