我国证券公司有效风险管理体系探讨

On Effective Risk Management System of China Securities Companies

全面、有效的风险管理是现代金融机构获得成功的一个重要因素。而要对风险进行全面有效的管理,就必须有与之相适应的组织架构作为保障。本文从全面风险管理的内涵出发,并借鉴美国投资银行的经验,结合我国证券公司的现状,对国内证券公司如何建立一个相对科学的风险管理组织架构进行了探讨并提出了一些建议。

Comprehensive and effective risk management is essential to financial institutions. And this has to be supported by a sound organization structure. Based on the nature of risk management as well as experience of US investment banking and status quo of Chinese securities companies, the author gives advice based on his studies how Chinese securities companies should set up a scientific risk management system.