| 我国部分证券公司失败的原因分析及对策研究 |
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| 引用本文： | 巩惠玲,潘立生.我国部分证券公司失败的原因分析及对策研究[J].合肥工业大学学报(社会科学版),2005,19(4):52-55. |
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| 作者姓名： | 巩惠玲 潘立生 |
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| 作者单位： | 合肥工业大学,管理学院,安徽,合肥,230009 |
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| 基金项目： | 上海证券交易所“第十三期联合研究计划”(04114D2) |
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| 摘 要： | 文章对19家证券公司因违规违法经营导致倒闭或被接管的原因进行了剖析,归纳出失败证券公司的四大主要问题:挪用客户巨额保证金,违规委托理财业务亏损,非法融资融券(非法吸收公众存款、违规国债回购)和违规自营业务失控导致巨额亏损等,并提出证券公司失败的防范对策。
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| 关 键 词： | 证券公司 失败 对策 |
| 文章编号： | 1008-3634(2005)04-0052-04 |
| 修稿时间： | 2005年3月10日 |
Failure analysis and countermeasure research on some Chinese security companies |
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| GONG Hui-ling,PAN li-sheng.Failure analysis and countermeasure research on some Chinese security companies[J].Journal of Hefei University of Technology(Social Sciences),2005,19(4):52-55. |
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| Authors: | GONG Hui-ling PAN li-sheng |
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| Abstract: | This paper analyzes the reasons why the 19 security companies have been closed down or taken over, caused by their management violating the law and discipline. It summaries 4 critical problems, such as misappropriation about clients' huge cash deposit, loss incurred in ill-trust finance, illegal capital financing and bonds, and the enormous loss caused by lost of control of the private business which violates the discipline. Therefore, it puts forward countermeasure to prevent them from failure. |
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| Keywords: | security company failure countermeasure |
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