中文摘要
在中国，证券欧亿·体育（中国）有限公司仍然是一个年轻的新兴欧亿·体育（中国）有限公司，从诞生至今，也只不过走过
了 20 多年的历程。随着证券欧亿·体育（中国）有限公司的高速发展，风险也存在于证券公司的各个方
面。对风险的管理、控制是券商在开展经营活动时中必须要思考的问题。目前，
由于证券欧亿·体育（中国）有限公司发展的不平衡，证券经纪业务从开始至今仍然是证券公司的主导业
务，因其风险管理不善而导致券商被监管部门重组或直接关闭的事件在近几年时
有发生。证券经纪业务风险管理越来越受到证券市场各方的重视，CC 证券公司
也不例外，经纪业务作为公司的重要基础业务，其收益一直占公司整体收益较大
的占比。近几年，由于其它业务的发展，经纪业务占比虽有所下降，但仍达到
30％左右。经纪业务开展的好坏，直接影响着公司的整体发展。

本文以 CC 证券公司经纪业务风险管理体系为研究对象，在充分学习、借鉴
前人对风险管理研究和实践成果的基础上，通过风险管理理论、运管管理理论、
原则监管理论，利用图表、数据、例证等数据欧亿·体育（中国）有限公司，系统分析 CC 证券公司经纪
业务风险及管理现状，研究评判其风险管理构成要素的完备性与有效性，分析其
风险管理体系的优劣，总结其在风险管理上的得失，并进一步提出改进的对策建
议。

本文分为五章内容。第一章绪论；第二章介绍本文研究风险管理的理论基础；
第三章描述 CC 证券公司经纪业务面临风险的分类、管理现状及采取的措施；第
四章描述了 CC 证券公司风险体系的优劣，提出改进意见；第五章为结论与展望，
总结全文并提出风险管理还需注意的问题。

作者通过对 CC 证券公司经纪业务的风险管理体系进行系统研究，结合实际
工作，力争做到在保证其经纪业务在风险可控的前提下，最大限度的支持经纪业
务的开展。如何平衡风险与业务发展之间的关系，成为公司当前乃至今后的一个
迫切的、长期的任务，也是一个需要长期研究的课题。

关键词：
CC 证券公司，经纪业务，风险管理ABSTRACT
In China, the securities industry is still burgeoning. It has been only a little more
than 20 years since its birth. With the quick development of this industry, risk exists in
all aspects of securities firms. The management and control of risk is the problem that
all the firms must think when conducting their business. Nowadays, because of the
imbalance of the development of the securities industry, the brokerage business, from
its beginning, is still the mainstream business for securities firms. It has happened
sometimes in recent years that some securities firms were restructured or closed by
regulating authorities due to improper risk management practice. The risk
management of the brokerage business is gaining more and more attention from all
aspects of the securities market. The CC Securities is no exception. The brokerage
business is of great importance, with its yield contributing to a percentage of its firm
wide yield. In recent years, because of the growth of other business lines, percentage
of the brokerage business has declined, but it still stays at around 30 percent. The
performance of the brokerage business directly affect the overall development of the
whole company.
This paper studies the risk management system of the brokerage branch of CC
Securities, based on the previous research and practice, by using risk management
theories, operations management theories, principle monitoring theories, through
tables, graphs, data and examples. This paper systematically study the risk
management of the brokerage branch of CC Securities.
This paper is divided into five chapters. The first chapter is an introduction; The
second chapter describes the theoretical basis of this study risk management; The
third chapter described in CC securities brokerage business at risk classification
management situation and the measures taken; fourth chapter describes the CC
Securities Risk System pros and cons, suggestions for improvement; Chapter 5
conclusions and Outlook concludes the paper and put forward the need to pay
attention to the problem of risk management.
The author conducts the system research based on CC securities brokerage
business risk management system, combined with the actual work, and strive to
achieve in the brokerage business under the premise of risk control, carry out the
maximum support brokerage business. How to balance the relationship between risk