海通证券公司财富管理风险防控探析

Analysis on Risk Prevention and Control of Wealth Management in Haitong Securities Company

摘要: 在我国的金融市场越来越健全的今天，各种金融业务都有了更大的发展空间，包括证券公司的财富管理业务。在公众的理财意识逐渐增强的情况下，居民的财富以理财产品的形式进入到了金融市场，近几年来，证券公司已经成为了财富管理业务发展的主体，在开展业务的过程中，也承受着很大的风险。本文以海通证券作为案例研究对象，探析海通证券公司的财富管理业务及其风险防控措施，发现海通证券在进行风险管理出现的问题并提出相关的优化建议。

Abstract: In today’s more and more sound financial market in our country, all kinds of financial businesses have more development space, including the wealth management business of securities companies. With the gradual enhancement of public awareness of financial management, residents’ wealth has entered the financial market in the form of financial products. In recent years, securities companies have become the main body of wealth management business development, and they also bear great risks in the process of business development. This paper takes Haitong Securities as a case study, analyzes the wealth management business of Haitong Securities and its risk prevention and control measures, finds out the problems in risk management of Haitong Securities and puts forward relevant optimization suggestions.