Thinking Of PB Business Risk Management

PB business, which is known as Prime Broker, is booming in China all these years. PB business brings new products and rules the asset markets. Various problems and risk follows with the developments of PB business. This paper analyzes the risk management of PB business and mainly discussed about the problems occurred during the products operation period in X securities company and gives the suggestion about these problems. Hoping this suggestion can helps the other company with the PB business.The first chapter is an overview, address the research background, research purpose and the research method. The second chapter presents the basic concepts of the risk and risk prevention. The third chapter mainly tells about the PB development in China the common point and difference between home and abroad. In the fourth chapter, we analyze the mainly risk in the PB business workflow and discuss about the corresponding solution. The fifth chapter is the conclusion and suggestion, summarize all kinds of the risk and provides the suggestion of risk prevention.The main research results include risk of Investment supervision, risk of fund accounting, risk of the cash settlement, risk of the transfer agent and the common risk of all above mentioned, which includes law and rule risk, ethic risk and information system risk and correlative suggestion.