证券公司操作风险及内控策略

Security company operating risk and its inner control strategy

通过研究西方关于操作风险的理论,结合我国具体证券操作风险实践的经验,对我国证券公司操作风险的状况进行分析归纳,提出了以内部控制为基础的员工自觉防范操作风险的意识、建立健全操作风险管理体系、完善制度设计并建立清晰组织结构、完善内控机制并建立损失数据库等对策主张。

On the basis of foreign stockjobbers on operational risk management theory and practical experience,our country＇s stockjobber operation risk management status are analyzed. This paper puts forward staff conscious awareness of operational risk based on internal control, establishing a sound operational risk management system, improving the system design,establishing a clear organizational structure, improving the internal control mechanisms and the establishing database of loss.