Hengtai Securities Ipo Investment Bank Business Risk Control Research

Along with the gradual maturity of the securities market,IPO business have also shown a trend of the high-speed development of the case.With the rapid of the growth of business,China Securities Regulatory Commission has further increased the supervision and further enhanced market transparency,if not pay more attention to risk management,the probability of occurrence of a risk would considerably increase, once breakout,which will seriously affect brand reputation, whatever the business itself or the company of affiliation will be a heavy blow.on the other hand,The Investment Banks of HengTai Securities Company as the management risk of financial institutions, risk management level is the one of the important indexes in view of this.The Investment Banks of HengTai Securities Company strengthen the risk management of the IPO business is urgently necessary.The research on risk management of the IPO business is very significant whether in practice or in theory.This paper, from the IPO business environment and business process research the risk of the IPO business of TengTai Securities Company’s investment banking business.I use the seven elements of macro environment influence IPO business and COSO internal control theory to analyze inspection report, and put forward the solutions.the purpose of research is to improve the success rate and risk management level.the full text if divided into five chapters:the first chapter for the introduction,this article introduces background and meaning of this selected works; research method and means path.the second chapter introduces the company’s profile; Investment Banks and IPO business brief introduction; The macro influence factors of IPO business and risk matters.the third chapter introduces COSO report theory and risk points.the fourth chapter mainly introduces IPO business’problems and improvements.chapter5for summary of research projects in the Results,and the next step of research ideas.Through the analysis of the IPO business risk management,combined with China’s investment banking risk management situation, two main conclusions drawn in this article:1、 the current securities company, and even the whole investment bank risk management pay attention to all of the IPO business is static risk management, has neglected the dynamic risk management, not fully aware of the risk to the direction of importance, this paper argues that should be particularly strengthen IPO business dynamic risk management, pay close attention to the emphasis and risk prevention supervision of the key changes, follow the steps of supervision, this is to improve the success rate of project of effective measures.2、the most fundamental problem of IPO business is the risk management based on existing deviation.managers and practitioners are mostly stand in on the basis of mutual trust implementation of risk management,the use of internal control theory that sell at a discount greatly.