A Study Of Fund Company's Risk Management

Chinese investment fund within the last few-years,from the size,quantity,vaadety and SO great changes have taken place,the prosperity of China'S capital markethas added a powerful vitality．However,the introduction of securities investmentfunds will study the financial products,both for regulators or investors still are fleshaffairs. Therefore,in the rapidly developing the same time,supporting laws andregulations and internal risk control measures are lagging behind,SO there were manyrisk events Both external regulation or internal control system has many problems tobe addressed and improvedArticles from external supervision and internal control analysis oftwo aspects offund management companies in China'S external current monitoring system andcontrol system of internal control,the external dimensions of the regulatory systemthat exists in China Fund Management Company imperfect laws and regulations,administrative regulation and industry self-regulation flawed,imperfect capitalmarkets function；within the internal control system,the fund management companythere is not a sound corporate governance,internal control systems,and systemexecution is not enough,the company organizational structure is irrational,riskmanagement system backward investment management personnel and SO on.Article by reference to the United States as the representative of mature foreignfund industry'S internal control management experience,and how-to make our fundmanagement company risk management capabilities,a reference,such as externalregulatory levels should improve fund,strengthen administrative control,step upself-discipline and build a system of investor protection fund,the introduction of exitmechanisms for fund management companies；internal control to create a goodinternal control environment regularly test the effectiveness of internal control system,improve the internal control report ofthe independence of the independent directors toimprove oversight role in enhancing the role of inspectors of the inspectors Throughthe improvement of internal and external control system fund management companies,fund management companies to gradually increase the anti-risk ability,better andmore effective protection of the interests of fund investors To fund the continuedprosperity ofthe market,provide the basis for support...