我国证券公司风险处置问题分析

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1、3.2我国证券公司风险处置案例分析······································································233.2.1申银证券与万国证券合并案例.....................................................................233.2.2新华证券被撤销案例...................................................................

2、..................253.2.3南方证券被行政接管案例.............................................................................273.2.4大鹏证券破产案例.........................................................................................293.2.5案例分析总结.............................

3、....................................................................303.3我国证券公司风险处置中存在的问题·······························································303.3.1风险处置资金来源和处置方式单一.............................................................313.3.2缺乏相应的风险处置法律法规....

4、.................................................................313.3.3政府等监管部门定位不明确.........................................................................323.3.4缺乏相应的风险处置配套机制.....................................................................333.3.5对证券公司的

5、风险内控和监控管理缺乏重视.............................................334证券公司风险处置的国际借鉴...................................................................................354.1境外证券公司风险处置的基本经验···································································354.1.1健全的风险处置法

6、律法规体系.....................................................................354.1.2多样化处置机制.............................................................................................364.1.3建立中小投资者保护机制............................................................

7、.................374.1.4明确政府监管部门在风险处置中的角色.....................................................384.1.5完善的以资本充足性为核心指标的风险预警监管体系.............................384.2案例···································································································

8、···················404.2.1美国金融机构的风险处置.............................................................................404.2.2日本金融机构的风险处置.......................................................