Study on the risk control of securities margin financing business take the Southwest securities as an example

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Project Title: Study on the risk control of securities margin financing business take the Southwest securities as an example
Author: Mr. Ding Hongzhe
Advisor: Assistant Professor Ching-Fang Chi
Degree: Master of Business Administration
Major: International Master of Business Administration
Faculty: Graduate Schools
Academic year: 2017

Citation

Ding, Hongzhe. (2017). Study on the risk control of securities margin financing business take the Southwest securities as an example. (Independent study, Master of Business Administration). Bangkok: Siam University.


Abstract

Margin trading business in developed countries is not a new thing,but entering our country and entering the general investor’s view is the matter of the recent years. Since the State Council approved the implementation of the margin trading business in March 31, 2010, China’s securities margin trading develop healthy and steadily , more and more securities companies obtain the qualifications of Margin trading ,and more and more securities become the underlying securities, margin trading plays a more and more important role in the development of securities market. But at the same time, it needs to be noticed that there still exist many problems in the margin trading market when compared with the developed countries. The problems come from national level of laws and regulations, securities business, and the investors themselves. Especially there is large gap when compared with the developed countries in risk control. And it should be noted that China’s existing problems are not divided from the basic conditions of our country. Reform and improve the system of risk monitoring system of margin trading should be combined with the actual situation of China. Strengthen the management of securities margin trading business risk and protect the interests of investors effectively.

This paper first introduces the research background and literature review of the paper. Secondly analyze the current situation and existing problems of China’s margin trading market. The next, carding the risk of margin trading securities companies face.Finally, taking the H securities company as an example, makes an in-depth analysis of the current situation of the financing and securities lending business, the risk supervision, existing problems and policy recommendations, puts forward some pertinent suggestions and summarizes the whole article.

Keywords:  Securities, Margin trading, risk control, the H Securities company.


Study on the risk control of securities margin financing business take the Southwest securities as an example

International Master in Business Administration (IMBA), Siam University, Bangkok, Thailand

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