Author(s)

Hu Shuai ¹, Liu Yuhan ¹

Affiliation(s)

¹ Beijing Technology and Business University,100048 Beijing, China

Corresponding Author

Hu Shuai

ABSTRACT

In China's financial system, the securities industry plays an important role in financing, resource allocation, wealth management and so on it plays an irreplaceable role. Due to the characteristics of the industry, securities companies are facing various problems with diverse forms and complex nature risk, whether the risk can be effectively managed has become an important factor affecting the survival and development of the company. Securities in China the company has a short history of development. After years of comprehensive improvement, risk management and internal control can be improved the strength is improved. However, with the rapid development of various new businesses and changes in the environment, some securities companies are at risk the construction of management and internal control lags behind, and the resulting risk events have seriously affected the normal development of the company.The supervision of external institutions and the construction of internal risk management are the two guarantees for the risk prevention and healthy development of securities companies,However, external supervision often has high information cost and weak pertinence. For securities companies, it is necessary to strengthen their own risk management and internal control are the fundamental measures.

KEYWORDS

Risk management; Securities companies;trading system

CITE THIS PAPER

Hu Shuai, Liu Yuhan, Research on securities trading and its impact on risk level. Financial Engineering and Risk Management (2021) 4: 73-77. DOI: http://dx.doi.org/10.23977/ferm.2021.040615.

REFERENCES

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