文档介绍：摘要证券公司在我国企业改制上市、融资、产业结构调整提升及整个证券金融市场的发展中发挥着日益重要的作用,但我国证券市场“新兴+转轨”的特征决定了我国证券市场在发展中不可避免地累计了一定的问题和风险,因此如何建立科学完善的风险管理体系,防范和化解风险已成为证券公司的一项重要议程,并具有高度的现实紧迫性。本文首先对证券公司风险及风险管理内涵加以界定,剖析证券公司风险较之其他行业风险的特殊性,并对证券公司风险管理理论发展和模型演进进行了回顾和综述,为进一步分析证券公司风险管理提供理论基础。然后,在研究了证券公司主要业务风险的基础之上,通过分析证券公司所面临的外部因素和内部因素两方面,得出证券公司风险生成机理,并揭示出证券公司的风险点及风险源。基于以上分析,构建证券公司风险管理评估体系,其中包括风险管理指标体系和风险管理因子评估体系两方面。通过建立监管性指标和评价性指标,来构建证券公司风险管理指标体系;通过对风险管理绩效影响因素的研究,来构建证券公司风险管理因子评估体系。最后,则努力探索建立证券公司行之有效的风险管理系统,其中包括风险管理组织体系的构建,以及风险管理系统程序与政策的构建。关键词:证券公司;风险;风险管理;评估体系 Abs仃act ABSTRACT The securitiescorppration gradually plays vitalroleinchanges ofcorprational institution,financing,the industrial structure adjustment promotion andintheentke securities market development,but theproblems andrisksinevitably aecumulated in thedevelopment of our securitiesmarket aredetermined bythe”emerging and switching”characteristies of our securities market,therefore how to establish plete riskmanagement system is animportant andemergent agenda totheriskguard andmelting ofthe thesecuritiescorppration. Inthisarticle,the risk and riskmanagement concepts ofsecuritiescorppration are defined,and the riskspecialty pared withthose of other industries analyzed,the development ofthe securitiescorppration risk management theories and models reviewed andsummarized atthe same time, which istheoretical basis of thefurther research on securitiescorppration risk management. Secondly,after themain risksinsecuritiescorporation arestudied,based on the analysis ofitsinternal and external factors,the riskforming mechanism isobtained andtheriskpositions and sources ale explored. Thenthesecuritiescorporation riskassessing system isbuiR,which includesthe riskmanagement indexsystem andtheriskmanagement factorassessing should bepointed out thatthe riskmanagement index system isbuiltthrou-gh establishing supervising and assessing index,and the riskmanagement factor assessing system isbuiRthrou曲studying theinfluentialfactorsofriskmanagement performance. Fin