证券业综合经营新趋势下风险监控机制研究——以证券控股公司为例

Risk Control Mechanism under the New Trend of Securities Industry's Comprehensive Operating——A Case of Security Holding Companies

证券公司在竞争、发展过程中不断开拓业务空间,运用多种形式开展综合经营,通过证券控股公司开展跨部门业务是一种较高程度的综合经营形式。文章拟对证券公司通过组建控股公司的形式开展综合经营过程中的风险进行分析,并探讨风险的监控机制。

To cope with competition, securities companies have been expanding their business lines and are undertaking comprehensive operating by all means available. The holding company is a comparatively advanced style in comprehensive operation. This paper studies the risks that accompany the comprehensive operating of security holding companies, and probes into the risk control mechanism.