证券公司如何建立有效的风险管理和风险防范体制，已成为我国证券市场健康持续发展必须研究解决的一个关键问题。本文着重分析西方证券公司管理体制、一般做法、基本特点，从中寻求对我国证券公司发展的借鉴意义。一、西方证券公司的风险管理体制证券公司经营是一种风险经营， How to establish an effective risk management and risk prevention system for securities companies has become a key issue that must be studied and solved for the healthy and sustainable development of China’s securities market. This article focuses on the analysis of the management system, the general practices and the basic characteristics of the western securities companies, and seeks for reference to the development of securities companies in China. First, the risk management system of Western securities companies Securities companies operating is a risk management,