光大证券公司融资融券业务及风险控制研究

Research of Securities Margin Trading and Risk Control of Everbright Securities

2010年3月光大证券被列入首批融资融券试点的名单中。在融资融券业务快速发展的时代,给证券公司带来的不仅是经营业绩,也让证券公司陷入不同程度的困境,同时也迎来了不同程度的挑战。所以如何解决所面对的困境并战胜融资融券带来的挑战,使证券公司的发展规模继续壮大是研究的重点所在。在剖析光大证券融资融券业务的基础上,了解融资融券业务流程、控制机制、主要风险等后,提出相应的防范建议,以此来规避风险。

In March 2010, Everbright Securities were included in the list of the first trial of securities margin trading. In the era of rapid development of securities margin trading, securities companies not only enjoy enormous profits, but also suffer from troubles and difficulties, as well as challenges. How to deal with these is the key to the development of securities. On the basis of the analysis of Everbright Securities＇ margin trading business to deeply understand the margin trading process, control mechanism, major risks, the corresponding prevention suggestions are put forward to avoid risks.