A Study On Risk Control Of PE Business In Securities Company

PE business, one innovative business in securities firms, plays an important role in stabilizing securities firms'profits and strengthening their ability to fight against risk. During the past few years, PE has developed rapidly and become one of the core competitive advantages of securities firms.Since PE was approved as an experiment in CICC and CITIC Securities by CSRC in September 2007,31 securities firms have already started this business and the growth of the profits from this business have also become outstanding. However, PE business also has tremendous risk and challenge because of the existence of innovative risk and its uncertainty, so the control of risk is the precondition and foundation of successful PE business.The paper starts from PE business and analyzes the features of PE business deeply. And then it comes into the PE business in securities firms and reveals the points and features of risk in the operation of PE business in securities firms and gives relative methods for risk control by analyzing the current development condition, progress, features and risks of PE business.The paper has 7 partsThe first part Introduces about paper's background, significance, analyzing methods, structure, innovation and shortcomings.The second part of general iztion.The third part of the analyzes of the feature of PE businessThe fourth part analysis of the mode and development condition of the PE business in Securities firms.The fifth part analysis of the types and features of risk in PE business.The sixth part analysis of the points of risk and control method in operation process of PE business in Securities firms, including risk analysis during the projects seeking phrase, responsibility research phrase, projects decision and investment phrase, and projects management phase, and gives relative risk control methods.The seventh part summarization.