上市证券公司投资银行业风险及其防范

The Risk and Prevention for Investment Banking in Listed Security Company

随着证券市场的发展及行业竞争的加剧,投资银行业面临的风险越来越大。如何有效地控制风险,是上市证券公司投行业生存和发展的关键问题。针对当前投行业中存在的主要风险,本文认为:最关键的是要持续完善法人治理结构、内部控制构架及以净资本为核心的风险控制指标体系;优化投行业务流程;探求新的风险管理手段和技术创新;完善有关法律法规,加大对违规违法行为的处罚力度。只有这样,才能有效地控制投行业务风险。

With the development of securities market and competition, the risks of investment banking is increasing. How to control the risks effectively, which is a key issue to listed security company. For the risks that exist in the investment banking, this paper argues that security companies should continuously improve the corporate governance structure, internal control structure and risk control indicator system,optimize investment banking process, explore new risk management tools and technology, increase penalties on illegal behavior. Only in this way, can it control the investment banking risks effectively.