论证券公司的风险管理及内部控制

The Discussion on the Risk Management and Internal Control of Securities Company

我国证券公司在从事证券经纪、证券承销、自营、资产管理等业务时均面临着经营风险,因此,必须充分认识防范和控制市场风险的必要性,从体制上、技术上以及全体员工的意识上加强风险管理并完善内部控制机制,这对于保证证券市场的健康、有序和持续发展也具有重要意义。

There are lots of risks existing in the securities company＇s management administration. And the main risks are the security brokerage business risk, security underwriting business risk, own business risk and other business risk. As a result,how to improve the securities company＇s abilities of risk management and defending risk and enhance the risk management and internal comtrol of securities company has already become an urgent problem to be solved in our country.