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证券交易风险主要是指证券公司在证券自营代理买卖过程中由于各种主、客观原因而造成损失的可能性。风险防范是有目的、有意识地通过计划、组织、控制和监察等活动来阻止风险损失的发生,削弱损失发生的影响程度,以获得最大的利益。证券交易的风险防范通常可以从制度、监察和自律管理等方面着手,以达到消除减缓风险发生的目的。 第一、建立证券交易风险的防范制度包括全额交易结算资金制度、风险准备制度和坏账准备等几个方面。 1、全额交易结算资金制度 沪、深两地证券交易所对证券公司的自营业务和委托业务都实行全额交易结算资金制度,要求证券公司在清算账
Securities trading risk mainly refers to the securities companies in the process of securities trading in the self as a result of various subjective and objective reasons, the possibility of loss. Risk prevention is a purposeful and conscious way to stop the loss of risk through planning, organizing, controlling and supervising activities, so as to reduce the impact of loss so as to obtain the maximum benefit. The risk prevention of securities trading can usually start from the aspects of system, supervision and self-regulation so as to eliminate the risk mitigation. First, the precautionary system of establishing the risk of securities trading includes several aspects such as the full transaction settlement fund system, the risk preparation system and the provision for bad debts. 1, the full transaction settlement fund system Shanghai and Shenzhen stock exchanges on the securities company’s own business and commissioned businesses have implemented a full transaction settlement fund system, requiring securities companies in the liquidation account