国外券商自营业务风险控制及对我国券商的启示

Risk Control on Proprietary Trading in Foreign Securities Companies and Its Implications for China's Securities Companies

风险控制是证券自营业务风险管理的核心环节,是证券公司自营业务风险管理的关键所在。国外券商在自营业务风险控制方面各具特色且个性鲜明。在对国外著名券商自营业务风险控制分析的基础上,比较了国内券商与国外券商自营业务风险控制的差距。国外券商已经逐步形成一整套比较成热、完善的自营业务风险控制系统,对于我国证券公司自营业务风险控制改进有借鉴意义。

Risk control is the core of the securities company risk management on proprietary trading. Foreign securities have their own characteristics and distinctive personality on the risk control of proprietary trading. Based on the analysis of the well-known foreign securities companies risk control, this paper compares the risk control gap between domestic and foreign securities companies. Foreign securities companies have gradually developed into a set of relatively mature, entire self-control system on proprietary trading, which is worth learning for China＇s securities companies to improve risk control.