论文部分内容阅读
我国证券市场先天不足,基金运作不规范,基金管理机构内部治理有缺陷,这些因素导致基金管理风险。美国有一整套防范基金管理风险的做法可供我国借鉴。内部管理与外部监督的有机结合,是基金公司发展壮大和各项业务健康发展的基本保证,而建立一套统一的、有效的、能覆盖风险管理的各个环节的内部风险控制制度和内部风险监控体系是基金公司成功进行风险管理的必由之路。
China’s securities market is inherently deficient, the fund operation is not standardized, and the internal governance of fund management agencies is flawed. These factors lead to fund management risks. The United States has a set of measures to prevent fund management risks for our country to learn from. The organic combination of internal management and external supervision is the fundamental guarantee for the growth and development of the fund companies and the healthy development of all businesses, and establishes a unified and effective internal risk control system and internal risk control covering all aspects of risk management System is the only way for fund companies to successfully carry out risk management.