我国券商业务风险成因的比较分析

A Comparative Analysis of Causes of Business Risks for China's Securities Dealers

证券公司是一种风险相对较高的金融机构。对于高速成长但毕竟又很年轻的我国券商而言 ,风险防范具有重要意义。本文采用比较分析和实证分析相结合的方法 ,归结出我国券商资产规模过小 ,资产缺乏流动性 ,业务范围过窄以及缺乏健全的风险防范机制 ,是导致其业务高风险的主要原因 ,从而为寻求我国券商业务风险防范途径提供了相应的思路。

Security company is a comparatively high risk financial institution. For the young rapidly growing securities dealers in China, risk prevention is of special significance. This article, combining the use of comparative analysis and case analysis, concludes that the main causes of high risks for security businesses in China come from the comparatively small scale of their capitals, lack of flowability of their assets, narrowness in their business scopes and want of risk prevention mechanisms, which are suggestive for securities dealers in China to find out methods of preventing business risks.