【作者】 刘茜；

【导师】 王雅梅；

【作者基本信息】 四川大学 ， 世界经济， 2004， 硕士

【摘要】 投资银行是资本市场高度发展的产物。它既是资本市场重要的机构投资者，同时也是各种证券发行筹集资本的融资桥梁，在全球经济高速发展的今天，投资银行已积极渗透到资本营运的各个环节。开展投资银行业务，对于构造证券市场、媒介资本供需、优化资源配置和促进产业集中等方面具有十分重要的作用。同时，投资银行作为最具朝气和生命力的金融行业，不断地涉足资本市场中的创新领域，因此也一直被认为是潜在金融风险最大的行业。国外投资银行对风险管理的理解与重视，集中的体现在风险管理的理念和控制原则上，这也正是国外投资银行能够较早的识别风险、控制风险并在风险中创造效益的优势所在。 随着我国投资银行的发展与资本市场的日渐活跃，许多因内、外部原因引起的风险隐患已经不容忽视，如何正视问题的存在并理性地进行分析、有效地加强我国投资银行的风险管理、提升我国投资银行的国际竞争力，是目前我国投资银行业所面临的一项紧迫的战略任务。 全文共分四个大的部分：第一章主要通过对投资银行定义、产生和发展、业务范围和功能、组织机构的介绍，全面勾画出投资银行的基本形态并对投资银行的发展趋势进行了阐述；第二章主要介绍了投资银行的风险类别以及生成原理，同时提出了投资银行的风险管理体系构成；第三章则着重阐述了我国投资银行的发展与风险管理现状，通过与国外投资银行的系统比较，深入地揭示了我国投资银行面临的问题，系统地阐述了加强我国投资银行风险管理的重要性与紧迫性;第四章是全文的重点，笔者从我国投资银行的风险管理现状出发，并借鉴国外投资银行风险管理的有益经验，从投资银行内部组织机构的创新和外部行业监管体系建设两大方面探讨了加强我国投资银行风险管理的思路和具体策略。关键词:投资银行发展趋势风险管理‘多更多还原

【Abstract】 Thanks to the highly developed capital market, investment bank becomes the key institutional investors as well as a financing tool of trading securities. It is now playing an active and important role in almost every field of capital operating by helping organize security market, balance capital supply, optimize resource allocation and promote industrial centralization. As the most vigorous and active financial industry, investment bank never stops its steps into new field of capital market. It is accordingly considered the most risky industry. The reason why those foreign investment banks make profits by realizing and controlling risks is that they fully understand the risks and take effective countermeasures against it.In the process of the development of China’s investment bank and capital market, those potential risks caused by extrinsic and intrinsic factors should not be neglected. Facing the reality, solving the problems, effectively enhancing risk management, promoting their competitiveness is the main strategic task for investment banks in China.The whole thesis consists of four parts: Chapter I will give you the basic status of investment bank and its future as well by introducing its definition, development, business scope and function .Chapter II will tell you the types and origins of investment banking risks as well as the composing of the risk management system. Chapter III pays more attention to the status of China’s investment bank development and its risk management. Systematically comparing China’sinvestment bank with foreign ones, I deeply reveal the questions that China’s investment bank confront and systematically illustrate the importance and necessity of enhancing the risk management . Being the most important part of this thesis, Chapter IV considering the status of the risk management of China’s investment banks and those successful experiences of foreign investment banks, the author states her points of view and countermeasures on how to promote the risk control of China’s investment bank by innovating inner organized structure , establishing and perfecting of industrial supervising systems.更多还原