CRO机制下证券公司风险管理体系研究

Research on the Risk Management System of Security Companies under the Control of Chief Risk Officer

随着证券公司风险范围的日益扩大,风险管理角色的变化以及法律制度的改革,传统零散式风险管理方法越来越难以满足企业持续发展的需求,CRO(首席风险官)便是这种实践的产物。从证券公司风险控制活动、信息与沟通、监督三个方面着手,探讨CRO机制下证券公司的风险管理有重要的理论和现实意义。

With the expansion of risk range of security companies, the changing role of risk management and the transformation of legal system, it is harder for traditional risk management methods to satisfy the needs of sustainable development of enterprises. Therefore, chief risk officer （CRO） is a necessity for security companies. The paper explores the theoretical and practical sig- nificance of CROs in risk management system for security companies from the aspects of risk control, information and communication, and corporate supervision.