浅析东莞证券融资融券的问题及对策

浅析东莞证券融资融券的问题及对策 摘 要随着金融业的不断发展与优化，金融产品不断增多，证券业务不断创新，融资融券作为近年来迅速发展的一种新兴证券业务类型，为投资者提供了股票市场新的盈利模式。其两大交易业务融资融券使投资者能够获得一定数量以上的自有资金或股票从事交易，人为地扩大投资者的交易能力，从而提高投资者的资金利用率。基于其杠杆交易及卖空机制，近年来融资融券被广大的证券用户所青睐。本文以东莞证券为例，简述东莞证券发行融资融券的状况，然后罗列融资融券对东莞证券所带来的影响，分析东莞证券在融资融券实际操作中，在内部控制制度、监控系统和管理中存在着的问题，并指出这些问题对新型融资融券业务发展的消极影响。最后针对以上问题和缺陷，提出东莞证券在面对融资融券业务所必须采取的对策及未来发展趋势，从而提高东莞证券融资融券业务的竞争能力。关键词：东莞证券 融资融券 高风险 高回报ABSTRACTWith the continuous development and optimization of the financial industry, the increasing number of financial products and the continuous innovation of securities business, margin trading, as a new type of securities business which has developed rapidly in recent years, provides investors with a new profit model of the stock market. Its two major trading businesses, financing and securities trading, enable investors to obtain more than a certain amount of their own funds or stocks for trading, artificially expand the trading capacity of investors, thereby improving the utilization rate of investors'funds. Based on its leveraged trading and short selling mechanism, margin trading has been favored by the majority of securities users in recent years.Taking Dongguan Securities as an example, this paper briefly describes the situation of issuing margin trading in Dongguan Securities, then lists the impact of margin trading on Dongguan Securities, analyses the problems existing in the internal control system, monitoring system and management of Dong...