Research On Risk Assessment And Control Of Capital Operation Of Securities Companies

The capital market and securities is the product of the highly developed commodity economy and the credit economy.The essence of the securities and the complexity of the operation of the capital market determine that the capital market is a high-risk market.With the advancement of financial globalization and market integration,China's capital market will also face more volatile fluctuations.As an important carrier of the capital market,it is necessary for securities company to constantly enhance the consciousness of the market by capital operation to enhance competitive power.While how to prevent unpredictable market risks in the process of capital operation has become a very interesting issue.Based on this,this paper takes WH security as an example to analyze the capital operation and the risks that the securities company will face in the process of expanding business,and propose to provide effective solutions.Firstly,this paper analyzes the related concepts of the capital operation of securities companies and the risk identification of it,additionally it analyzes the theory of risk management basic theory of internal control and the relationshipof them,which provides the theoretical basis of this paper Secondly,it analyzes the existing problems of risk control in the capital operation of WH Securities Company and puts forward the reason of it.Finally,this paper puts forward the solutions to help WH securities companies improve capital operation risk control,hoping a better future of it.