投资银行风险管理现状与对策研究

【作者】 刘银松；

【导师】 姚艳虹； 谢赤；

【作者基本信息】 湖南大学 ， 工商管理， 2001， 硕士

【摘要】 我国的投资银行业是随着证券业的发展和企业的经济结构调整而进入起步期的。投资银行业是一种高风险行业，特别是我国的投资银行发展历史短，风险意识淡薄，再加之法制也不健全，因此对于处在“风口浪尖上”的投资银行如何加强风险管理就已成为当前需要深入研究的理论问题，也已成为当前需要全面解决的现实问题。 本文围绕投资银行风险管理这一主题，介绍了投资银行的主要业务与特点，进而介绍了投资银行的风险类型，同时详细分析了目前我国从事投资银行的机构——券商在风险方面存在的一些具体形式。仔细分析了我国投资银行在风险管理中存在的主要问题，并且深入分析了国际上一些著名投资银行由于忽视风险管理而招致失败的案例，最后根据我国投资银行风险管理的现状结合对日本山一证券、香港百富勤和英国巴林银行等投资银行倒闭案例的分析，提出了投资银行风险管理的一些基本防范原则及具体措施，具有较强的可操作性，对于加强我国投资银行的风险管理具有非常重要的现实意义与指导意义。更多还原

【Abstract】 The industry of Investment Bank has entered into its initial phase with the development of securities and adjustment of economical structure for enterprises. Investment Bank is an industry of high risk, due to the short history, lacking of comprehensive law system to regulate this industry in our country, it has been both a theoretical and practical problem to research how to enhance risk management of Investment Bank while poor risk awareness is cast to the “surf top” industry.This paper introduce the main transactions and features as well as the risk types of the industry while at the same time elaborately analysis the organizations involve with Investment Bank at home————the specific forms of risk for security investors. With elaborately analysis of major problems existing in risk management for Investment Bank and further elaboration of some typical cases indicating the failure due to ignorance of risk management in the world, some basic protective principles and specific measures which considered to be workable and significant to instruction of risk management in our country have been rendered in this paper, plus analysis of bankruptcy Yamaichi Securities in .Japan,Peregine Investments Holdings Limited in Hong Kong and Barings Brothers Ltd in England with a view of the current situation at home.更多还原