【作者】 谢磊；

【导师】 李一智；

【作者基本信息】 中南大学 ， 管理科学与工程， 2006， 博士

【摘要】 金融自由化、全球化、资产证券化以及不断涌现的金融创新给全球金融带来了广泛而深远的影响，给各国证券投资者带来了机遇和福音，也带来了诸多挑战与困惑；金融体制改革的进一步深入使我国证券市场开始走向成熟，加入WTO后，加快了我国证券市场与国际金融市场的融合，使之走向开放，带有浓厚的计划经济烙印的资本市场也给我国证券市场添上了浓厚的“中国特色”。 综观当前的国内外金融形势，我国证券投资者面临前所未有的发展机遇，同时风险在加剧，挑战和困难在增加，“中国特色”的金融市场给我国证券投资者也附上了“中国特色”的投资风险，证券投资风险成为了一个极其严峻的现实问题。 证券市场中最为关键的构成要素——投资主体即投资者，其投资行为的规范程度直接影响到证券市场的资源配置效率，投资主体又是联结证券市场其他诸要素的核心，加强对证券市场投资者行为的研究、健全投资者行为，对充分发挥证券市场的资源配置作用，对证券市场的进一步发展和完善具有重大意义。 本文主要从证券市场中股票投资者之视角，以经济学、金融学、管理学、心理学和社会学等学科知识为基石，以股票投资者风险为核心，以投资者投资风险管理研究为主线，围绕投资者投资风险管理这一主题来研究我国股票投资者投资风险管理问题。 本文主要研究成果有：更多还原

【Abstract】 The tide, that finance is gradually becoming free supervision and globalization, that asset securitization is put into practice and financial innovations is well up, bring an abroad and deep and lasting influence for global finance and many of chances and evangel for securities investors and also lots of challenges and puzzles.The further reforms about financial system and entering WTO made Chinese securities market further open and mature. The Chinese assets markets which rooted in panned economy was put on a "Chinese trait "jacket.So if make a comprehensive view for current financial position, we’ll discover that Chinese stock investor is faced with a lot of opportunities and challenges and difficulties. The problem about risk of Chinese stock investor is an austere and urgent task to be worked.Which or not normal action of investor, which is a relation core and a key element made up pf securities market, will directly influence efficiency of assigning resources in securities market. Therefore the study on investor psychology and behavior and so on will be in favor of making use of function of securities market and be favor for Chinese securities market further growth and perfect.From a view of stock investors in Chinese securities business, this更多还原