發(fā)布時(shí)間：2018-01-15 08:04

  本文關(guān)鍵詞：H投資公司風(fēng)險(xiǎn)管理的研究　出處：《吉林大學(xué)》2017年碩士論文　論文類(lèi)型：學(xué)位論文

  更多相關(guān)文章： 風(fēng)險(xiǎn)管理 體系構(gòu)建 研究

【摘要】：隨著全球化經(jīng)濟(jì)的發(fā)展,企業(yè)所面臨的風(fēng)險(xiǎn)越來(lái)越多,與過(guò)去單一風(fēng)險(xiǎn)不同,尤其當(dāng)今大環(huán)境下,各國(guó)經(jīng)濟(jì)不景氣,美國(guó)的次貸危機(jī)席卷世界之后,歐元區(qū)危機(jī)的過(guò)渡期,在不斷加速的全球經(jīng)濟(jì)一體化的進(jìn)程中,企業(yè)不斷對(duì)外擴(kuò)張規(guī)模并不斷轉(zhuǎn)變經(jīng)營(yíng)方式,在瞬時(shí)萬(wàn)變的市場(chǎng)環(huán)境中,企業(yè)的存活壓力倍增,而各國(guó)企業(yè)經(jīng)營(yíng)生存面臨諸多風(fēng)險(xiǎn)也加倍增多。而企業(yè)的轉(zhuǎn)型改制不是一朝一夕就可以完成的,風(fēng)險(xiǎn)管理貫穿其中,對(duì)風(fēng)險(xiǎn)的識(shí)別、分析、應(yīng)對(duì)、管控是現(xiàn)今迫在眉睫需要企業(yè)掌握的風(fēng)險(xiǎn)管理手段。風(fēng)險(xiǎn)管理的完善能夠增加空缺的職位,提高就業(yè)率,并且完善公司內(nèi)部制度中處于重要角色,增強(qiáng)企業(yè)經(jīng)營(yíng)活力。國(guó)外風(fēng)險(xiǎn)理論比國(guó)內(nèi)風(fēng)險(xiǎn)管理更加多元,但國(guó)內(nèi)外的政策不同,國(guó)外的風(fēng)險(xiǎn)理論不一定完全使用于國(guó)內(nèi)其噢耶,而每個(gè)企業(yè)的經(jīng)營(yíng)模式也各不相同。本文旨在完善H投資公司的風(fēng)險(xiǎn)管理制度,并提出一些有益的建議,完善風(fēng)險(xiǎn)管控的機(jī)制,以保障H投資公司資本的安全。本文對(duì)H投資公司的風(fēng)險(xiǎn)管理體系進(jìn)行探討,但通過(guò)很多投資計(jì)劃、實(shí)施方案和投資結(jié)果上來(lái)看,H投資公司自身定位不清,在風(fēng)險(xiǎn)管理上應(yīng)用方法上邏輯思路不夠清晰。本文梳理了H投資公司的風(fēng)險(xiǎn)管理框架,提出了一些優(yōu)化建議。本文由六部分組成,第一章引言,第二章相關(guān)理論介紹,第三章和第四章為本文核心章節(jié),第五章H投資公司的風(fēng)險(xiǎn)管理的保障措施,第六章結(jié)論作為本文的結(jié)尾。主要內(nèi)容如下:第一章是研究背景和研究意義等的介紹,另外闡述本文的研究思路和研究方法。主要介紹了風(fēng)險(xiǎn)管理在金融學(xué)、管理學(xué)和決策管理等科學(xué)領(lǐng)域中成為重要研究對(duì)象之一。風(fēng)險(xiǎn)問(wèn)題是現(xiàn)在很多企業(yè)在經(jīng)營(yíng)管理中遇到的眾多問(wèn)題之一,對(duì)于企業(yè)的生存風(fēng)險(xiǎn)成了影響企業(yè)管理活動(dòng)的基本要素,因此,對(duì)風(fēng)險(xiǎn)管理的研究成為國(guó)內(nèi)外企業(yè)研究的重點(diǎn)領(lǐng)域之一。第二章主要介紹了風(fēng)險(xiǎn)管理理論及相關(guān)理論。本文首先介紹了風(fēng)險(xiǎn)理論的定義,介紹了各個(gè)時(shí)期的學(xué)者對(duì)風(fēng)險(xiǎn)的定義。概括介紹風(fēng)險(xiǎn)的分類(lèi),比如何為經(jīng)營(yíng)風(fēng)險(xiǎn)、財(cái)務(wù)風(fēng)險(xiǎn)政策法規(guī)性風(fēng)險(xiǎn)等。對(duì)國(guó)內(nèi)外學(xué)者的研究現(xiàn)狀進(jìn)行匯總分析,對(duì)當(dāng)下有關(guān)風(fēng)險(xiǎn)理論有個(gè)基礎(chǔ)掌握,給文章深入的分析做好理論支持。然后是對(duì)風(fēng)險(xiǎn)管理的概念進(jìn)行闡述,主要介紹全面風(fēng)險(xiǎn)管理理論。全面風(fēng)險(xiǎn)管理理論目前主要應(yīng)用于企業(yè)管理領(lǐng)域,所以以下都圍繞企業(yè)管理進(jìn)行闡述。全面風(fēng)險(xiǎn)管理框架主要由八大要素:內(nèi)部環(huán)境、目標(biāo)制定、事項(xiàng)識(shí)別、風(fēng)險(xiǎn)評(píng)估、風(fēng)險(xiǎn)反應(yīng)、控制活動(dòng)、信息與溝通、監(jiān)控構(gòu)成了全面風(fēng)險(xiǎn)管理框架。第三章主要提出了h投資公司的內(nèi)部風(fēng)險(xiǎn)管理現(xiàn)狀及問(wèn)題。介紹了h投資公司的現(xiàn)狀、風(fēng)險(xiǎn)管理體系及風(fēng)險(xiǎn)管理存在的問(wèn)題。h投資公司由長(zhǎng)春市國(guó)資委于2011年批準(zhǔn)成立。h投資公司風(fēng)險(xiǎn)管理體系剛剛成立,所做工作屬于初期制度建設(shè)工作,管理層目前工作主要精力集中于投資項(xiàng)目,對(duì)外發(fā)展中,對(duì)內(nèi)部的協(xié)調(diào)溝通管理工作缺乏連貫性,人員內(nèi)部結(jié)構(gòu)簡(jiǎn)單、單一。風(fēng)險(xiǎn)管理體系目前在摸索階段,指出h投資公司風(fēng)險(xiǎn)管理存在的問(wèn)題,包括公司缺乏風(fēng)險(xiǎn)管理文化氛圍;缺乏人才技能的培訓(xùn);公司內(nèi)部結(jié)構(gòu)存在短板;公司董事會(huì)、管理層、風(fēng)控部無(wú)法發(fā)揮相應(yīng)的用處,風(fēng)險(xiǎn)管理職能分散;監(jiān)督不到位;缺乏及時(shí)有效的信息溝通;缺乏全面風(fēng)險(xiǎn)管理的文化氛圍;風(fēng)險(xiǎn)管理機(jī)制流于形式;沒(méi)有充足的人才提供保障;資金的風(fēng)險(xiǎn)問(wèn)題。第四章主要提出了h投資公司風(fēng)險(xiǎn)管理的重要性,給出了優(yōu)化建議。本章主要介紹了h投資公司風(fēng)險(xiǎn)管理體系的構(gòu)建,首先需要知道企業(yè)的發(fā)展戰(zhàn)略和發(fā)展方向以及發(fā)展理念等,針對(duì)風(fēng)險(xiǎn)管理框架體系的建設(shè)上給出正確的目標(biāo),并且對(duì)風(fēng)險(xiǎn)管理的目標(biāo)進(jìn)行一一分析和落實(shí),結(jié)合風(fēng)險(xiǎn)管理目標(biāo)展開(kāi)風(fēng)險(xiǎn)管理機(jī)制的建設(shè)。對(duì)于h投資公司進(jìn)行分析,該公司的風(fēng)險(xiǎn)管理體系建設(shè)上,首先是對(duì)風(fēng)險(xiǎn)進(jìn)行識(shí)別和分析,對(duì)每個(gè)風(fēng)險(xiǎn)發(fā)生的概率和產(chǎn)生的后果等有個(gè)基礎(chǔ)的了解,給出風(fēng)險(xiǎn)方的應(yīng)對(duì)方案,以此為基礎(chǔ)進(jìn)行風(fēng)險(xiǎn)管理體系的完善。不僅要構(gòu)建符合h投資公司未來(lái)發(fā)展的風(fēng)險(xiǎn)管理框架,并且要對(duì)h投資公司內(nèi)部的風(fēng)險(xiǎn)管理文化環(huán)境進(jìn)行重新規(guī)劃。加強(qiáng)企業(yè)風(fēng)險(xiǎn)管理文化的相關(guān)制度建設(shè),企業(yè)風(fēng)險(xiǎn)文化的建設(shè)是很重要的,通過(guò)文化潛移默化的作用,讓內(nèi)部上到負(fù)責(zé)人下到基礎(chǔ)員工,都能夠在思想上認(rèn)識(shí)到風(fēng)險(xiǎn)管理的重要性;進(jìn)行風(fēng)險(xiǎn)管理人才的培訓(xùn),對(duì)經(jīng)理層風(fēng)險(xiǎn)管理給出對(duì)應(yīng)的制度,成立風(fēng)險(xiǎn)管理委員會(huì),對(duì)內(nèi)部風(fēng)險(xiǎn)管理環(huán)境進(jìn)行重建。本章介紹h投資公司風(fēng)險(xiǎn)管理現(xiàn)狀的優(yōu)化建議,風(fēng)險(xiǎn)管理框架體系的完善要有著明確的目標(biāo),要結(jié)合企業(yè)發(fā)展戰(zhàn)略。對(duì)h投資公司的現(xiàn)狀提出一些優(yōu)化建議,在對(duì)其下屬部門(mén)進(jìn)行風(fēng)險(xiǎn)管理時(shí),應(yīng)對(duì)信息加以處理,加強(qiáng)內(nèi)部風(fēng)險(xiǎn)管理,外部風(fēng)險(xiǎn)監(jiān)督工作,優(yōu)化風(fēng)險(xiǎn)管理組織結(jié)構(gòu)與職責(zé),加強(qiáng)對(duì)人的培養(yǎng)。本文第五章主要論述h投資公司實(shí)施過(guò)程中可能會(huì)存在的問(wèn)題,本章對(duì)可能存在的問(wèn)題提出了相應(yīng)的保障措施和相關(guān)建議,主要針對(duì)后期員工出現(xiàn)對(duì)風(fēng)險(xiǎn)管理的認(rèn)識(shí)不清,實(shí)施過(guò)程中存在誤區(qū)。風(fēng)險(xiǎn)管理是一個(gè)全局性、系統(tǒng)性的過(guò)程。做好全面動(dòng)員工作,加強(qiáng)組織宣傳工作,營(yíng)造風(fēng)險(xiǎn)管理企業(yè)文化氛圍。打造溝通信息的環(huán)節(jié),開(kāi)展部門(mén)經(jīng)驗(yàn)交流和推廣活動(dòng)本文研究給出的主要結(jié)論是:信息革命的到來(lái),為h投資公司的發(fā)展注入了活力,在發(fā)展過(guò)程中獲得了巨大盈利,同時(shí)也面臨諸多風(fēng)險(xiǎn)問(wèn)題,文章針對(duì)h投資公司的產(chǎn)生、發(fā)展歷程以及當(dāng)下的發(fā)展?fàn)顟B(tài)進(jìn)行了分析,詳細(xì)的闡述了h投資公司的發(fā)展現(xiàn)狀,探討了國(guó)內(nèi)h投資公司在發(fā)展中存在的不足之處以及問(wèn)題應(yīng)對(duì)策略。在業(yè)務(wù)模式上,該投資公司比較單一,不管是管理體系還是管理機(jī)制的完善,亦或是風(fēng)險(xiǎn)的辨識(shí)和衡量等,都和同行相比存在一定差距。當(dāng)下我國(guó)學(xué)術(shù)界在金融企業(yè)的風(fēng)險(xiǎn)管理中,并沒(méi)有結(jié)合具體的公司情況展開(kāi)分析,主要是理論層面的分析,基于此,本文針對(duì)h投資公司展開(kāi)具體的分析,不管是理論的建設(shè)還是現(xiàn)實(shí)問(wèn)題的解決上,都意義深遠(yuǎn)。本文對(duì)h投資公司實(shí)際運(yùn)作中遇到的風(fēng)險(xiǎn)進(jìn)行分析,這對(duì)該公司的風(fēng)險(xiǎn)管理體系完善上給出了建議,指出風(fēng)險(xiǎn)管理體系建設(shè)的理論和目標(biāo),同時(shí)對(duì)h投資公司的風(fēng)險(xiǎn)管理工作展開(kāi)全面的分析探討,在風(fēng)險(xiǎn)管理體系建設(shè)上,闡述要包含的部分,從整體的角度上針對(duì)h投資風(fēng)險(xiǎn)管理體系建設(shè)中相關(guān)制度的完善和具體工作的開(kāi)展上展開(kāi)一定層次的探討,全面分析了h投資公司經(jīng)營(yíng)管理和項(xiàng)目投資過(guò)程中的風(fēng)險(xiǎn)因素,在分析公司風(fēng)險(xiǎn)因素的前提下,針對(duì)風(fēng)險(xiǎn)的監(jiān)控給出具體的機(jī)制。同時(shí)探討了風(fēng)險(xiǎn)管理過(guò)程中企業(yè)要做的各項(xiàng)工作。
[Abstract]:With the development of economic globalization, the enterprise faces more and more risk, with the past single risk, especially in today's environment, the economic downturn, after the subprime crisis swept the world, the transition period of the eurozone crisis, in accelerating the process of global economic integration, the expansion of the scale of foreign enterprises to continuously and continuously to change the mode of operation, the instantaneous changing market environment, the enterprise survival pressure doubled, and the world of business survival is facing many risks are also increased. The transformation of enterprises and double restructuring is not a short duration of time can be completed, which runs through the risk management, risk identification, analysis, response, control is the imminent need to master the enterprise the means of risk management. Improving risk management can increase the vacancies, increase the employment rate, and improve the company's internal system in an important role in, To enhance business vitality. Foreign venture theory than domestic risk management is more diverse, but domestic and foreign policy, risk theory is not necessarily completely used in the domestic Oh yeah, and each business model is also different. This paper aims to improve the H investment company's risk management system, and puts forward some useful suggestions to consummate the mechanism of risk control, to ensure the safety of the capital of the H investment company. The risk management system of H investment company to carry on the discussion, but through a lot of investment plan, implementation plan and investment results, the location of H investment company is not clear, the application method of logical thinking is not clear in the risk management in this paper. Combing the risk management framework of H investment company, puts forward some optimized suggestions. This paper consists of six parts, the first chapter is introduction, the second chapter introduces the related theories, the third chapter and the fourth chapter is the The core chapters, the fifth chapter H safeguard measures of risk management investment company, the sixth chapter is the conclusion as the end of this paper. The main contents are as follows: the first chapter is the research background and significance of the introduction, the research ideas and research methods of this paper. It mainly introduced the risk management in finance, one of the important research objects become management science and management science. The risk problem is one of the many problems encountered in many enterprises in the management, for the enterprise survival risk became the basic elements affecting enterprise management activities because of this, one of the key research areas of domestic and foreign enterprises to become risk management research. The second chapter mainly introduces the the risk management theory and related theory. This paper firstly introduces the definition of risk theory, introduces the various periods of scholars on the definition of risk. The risk of classified summary, Than how to management risk, financial risk policy and regulatory risk. To summarize and analyze the research status of domestic and foreign scholars, have a basic grasp of the relevant risk theory, making a theoretical support for the in-depth analysis. Then the concept of risk management is expounded, mainly introduces the comprehensive risk management theory of comprehensive risk management. The theory is mainly applied to the field of enterprise management, so the following are centered on the enterprise management in this paper. A comprehensive risk management framework is mainly composed of eight elements: internal environment, goal setting, event identification, risk assessment, risk response, control activities, information and communication, monitoring a comprehensive risk management framework. The third chapter mainly puts forward h the investment company's internal risk management status and problems. This paper describes the state of H investment company, the problems existing in the management system of risk and risk management of the investment company by.H Changchun SASAC in 2011 approved the establishment of risk management system of.H investment company has just been established, the work belongs to the early construction of the current management system, mainly focus on the development of foreign investment projects, work coordination and communication management of internal lack of coherence, the internal structure of a simple, single risk management system at present. The exploration stage, and points out the existing risk management h investment company, including the company lacks the atmosphere of risk management culture; the lack of talent training; the internal structure of the company is the short board; the board of directors of the company, management, risk control department can not play the corresponding use risk management function; supervision is not in place; the lack of timely and effective communication the lack of comprehensive risk management; culture; risk management mechanism is a mere formality; do not have enough talent to provide security; risk funds. In the fourth chapter, the main To put forward the importance of risk management of H investment company, and gives the optimization suggestions. This chapter mainly introduces the construction of risk management system of H investment company, first of all need to know the development strategy and direction of the development of enterprises and the development of the concept, the construction of risk management system framework is presented on the right target, and the goal of risk management one by one analysis and implementation, with the construction of risk management target expansion risk management mechanism for H investment company to carry on the analysis, the construction of risk management system of the company, the first is to identify and analyze the risk, there is a basis of the probability of each risk occurrence and consequences of such understanding, solutions given the risks the perfect basis for the risk management system. Not only to construct the risk management framework for the future development of the H investment company, and to the H investment company Re planning of cultural environment of internal risk management. To strengthen the construction of relevant system of enterprise risk management culture, the construction of enterprise risk culture is very important, through cultural influence, make internal to the person in charge to the staff, can be aware of the importance of risk management in the thought of risk management personnel; the training of managers, the corresponding risk management system, set up a risk management committee for the reconstruction of internal risk management environment. This chapter introduces the optimization suggestions of H investment company risk management present situation, improve the system of the risk management framework should have a clear goal, according to the enterprise development strategy and put forward some optimization suggestions for the status quo. H investment company, in its subordinate departments to carry out risk management, to deal with information, strengthen the internal risk management and external risk supervision, optimization of wind Risk management organizational structure and responsibilities, strengthen the cultivation of people. There may be a problem in the process of the implementation of the fifth chapter of this paper mainly discusses the H investment company, this chapter on the possible problems put forward corresponding measures and suggestions, mainly for the late staff awareness of risk management is not clear, the misunderstanding of the implementation process. Risk management is a global, systemic process. Good comprehensive mobilization work, strengthen the organization and publicity work, to create a corporate culture of risk management. Build communication links, the main conclusions of the Department of exchange of experience and promotion activities in this paper is given: the arrival of the information revolution, has injected vitality into the development h investment company, gained huge profits in the process of development, but also faces many risks, aiming at the H investment company, the development process and the current development. States are analyzed, elaborated the development status of H investment company, discusses the shortcomings of the domestic h investment company in the development of the existing problems and coping strategies. In the business model, the investment company is single, whether it is to improve the management system and management mechanism, or risk identification and measurement etc. and compared to their counterparts, there is a certain gap. The academic circles in our country the risk management of financial enterprises, and not with the company specific analysis is mainly based on theoretical analysis, this paper, the concrete analysis in view of H investment company, whether it is to solve the theory or practical problems on construction, have far-reaching significance. This paper analyzes the risks encountered during the actual operation of H investment in the company, this is the company's risk management system and perfect suggestions are given, and points out that the construction of risk management system of Science At the same time, the theory and the goal, H investment company's risk management work carried out comprehensive analysis, in the construction of risk management system, elaborated to include part, discusses the level of improvement from the overall perspective on H investment risk management system in the construction of related system and carry out specific work, comprehensive analysis the risk factors of H investment management and project investment process, based on the analysis of risk factors, given the risk monitoring mechanism for the specific work. At the same time, discusses the enterprise risk management process to be done.

【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類(lèi)號(hào)】：F832.39

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