Research On Risk Management Of New Three-Board Listed Business In Securities Company

As the burden of improving the multi-level capital market system and high-tech SMEs to provide market-oriented financial platform for the historical mission of the national small and medium-sized enterprise share transfer system(commonly known as the "new three board" market),since 2015 the rapid development momentum,the number of listed companies More than 11,000 to go all the way higher,more than 1,500 transfer of the city,the agreement transfer of nearly 10,000,to be listed more than 170 total number of households,the total number of declarations to reach more than 500,many small and medium-sized high-tech enterprises with this platform di-rectly Indirectly solve-the financing needs,as small and medium enterprises.to achieve leapfrog development and wealth multiplier shortcuts.Securities companies as the new three board market chain in the middle of the intermediary and coordina-tors,and gradually involved in the integration of recommended business,market trading business,investment business and a series of chain,from the market access to a higher project income.With the market crazy expansion,the securities company risk management model is not timely adjustment,still to the traditional business risk management model for the new three board business risk management.At the same time,securities companies as an important financial institutions,effective risk management is the company's ongoing business and long-term development of the important foundation and protection.Therefore,for the new three board listing business,how to effectively assess,identify and respond to risk matters,in the case of the greatest degree of risk control to complete the recommended listing project has become an urgent need for securities companies to study the project.Based on the current situation of domestic and foreign research,this paper combs the theory related to the risk management of securities companies and analyzes the current situation of risk management of the new three board listing project of securi-ties companies.In this paper,the case study method is used to introduce the basic situation of G securities company and the current situation of risk management at the company level through the new three board listing business of G securities company.Through the questionnaire survey,the questionnaire and expert interview of industry experts are summarized and the new board is listed The current risk management or-ganization is not perfect,the project risk management process is not perfect,the risk management culture construction is relatively weak,and the listed companies lack the effective communication mechanism and other risk management defects,and from the strategic point of view and implementation of the proposed optimization recommen-dations.Finally,through the G securities company to A business listing business as an application research,the optimized risk management program has a certain applica-tion value and reference significance.As a new business variety of securities companies,the theoretical research and empirical analysis of relevant risk management have less references.The research work of this paper has improved the risk management level of securities companies in the new three-board listing business,but also,for the securities companies in the new three board project Listed management practice provides a certain reference.