Research On Risk Management Optimization Of Hualong Securities Company

Finance is the soul of economic activities,capital market is the most magical field of modern financial activities,and securities companies are professional institutions to promote the development of capital markets.In the past three decades,the development of capital market,securities companies have brought a lot of convenience for direct financing of various institutions,but also provided strong support for the rapid development of all kinds of enterprises.However,with the capital market entering a new period of opening up and innovative development,the deregulation of the industry and the trend of financial globalization have become the new situation that securities companies must face.The fierce competition between securities companies and other financial institutions,Is promoting a major reform of securities firms to At the same time,the weak risk management of securities companies and the relative lag of employees' risk consciousness are exposed at the same time.In recent years,as the failure to strictly manage risks has led to frequent occurrence of various types of risks in domestic securities companies,the "Black Swan" incident has sprung up one after another.Therefore,in addition to profitability,The risk management ability of securities companies has become one of the core competitiveness of securities companies.This paper takes the risk management of Hualong Securities Company as the research object.Firstly,it expounds all kinds of concepts related to risk management,and combs the literature and theory about risk management of securities company at home and abroad.Analysis of the current Hualong securities risk management mechanism deficiencies.Secondly,it is pointed out that in addition to the major risks such as credit risk,market risk,operational risk and liquidity risk,the company still needs to deal with the lack of capital and the imperfect risk system structure.The impact of certain risks such as imperfect information system and unreasonable staffing of risk management professionals on the management of the company.After that,this article combines the actual situation of the current securities industry,uses the literature analysis method And quantitative and qualitative analysis method to explore the optimization of Hualong securities risk management mechanism,strive to prevent all kinds of risks in future business activities,active management,to ensure that the risk can be controlled under the premise of maximum profits.This paper focuses on the risk preference management,credit risk management system,market risk management system,operational risk management system,liquidity risk management system and specific risk response mechanism of Hualong Securities.This paper puts forward the tools and ways to improve risk management,puts forward the construction of risk management information system,the formulation of relevant risk management norms and guidelines,and how to improvethe management of risk management in the company.The degree of attention to the theory and other coping strategies.Finally,this paper summarizes the significance of optimizing the risk management of Hualong Securities in the face of the multiple risks of the securities company under the new situation.Emphasizing the importance of drawing lessons from the risk management experience of leading securities companies at home and abroad and creating a risk management mechanism for Hualong Securities,which adapts to the new situation in the market,and the role of preventing and controlling the main risks and specific risks of the company in ensuring the sound development of the business,Then it can provide reference or reference value for other small and medium-sized securities companies in the industry.