证券市场问题研究目录目录.................................................................II摘要..................................................................IIIAbstract.................................................................Ⅳ第1章绪论..............................................................11.1研究背景及意义.....................................................11.2研究思路...........................................................11.3研究方法...........................................................21.3.1文献调查法............................................................................................................................21.3.2经验总结法............................................................................................................................21.3.3实证分析法............................................................................................................................2第2章证券公司业务的现状——以华鑫证券为例...............................32.1华鑫证券概况.......................................................32.2理财业务现状.......................................................32.3业务中出现的问题...................................................42.3.1挪用客户资金........................................................................................................................42.3.2业务不规范............................................................................................................................42.3.3缺乏有效地监管....................................................................................................................4第3章我国证券业务的风险及原因分析.......................................63.1风险分析...........................................................63.1.1金融安全风险........................................................................................................................63.1.2个人信息存在泄漏风险........................................................................................................63.1.3法律风险................................................................................................................................63.2原因分析......................................................................................................................73.2.1证券市场监管存在制度性缺陷............................................................................................73.2.2对金融业监督不严格............................................................................................................73.2.3客户操作风险意识薄弱........................................................................................................83.2.4证券业务技术支持的不完善................................................................................................8第4章预防风险的相关对策.................................................94.1第三方存管制度.....................................................94.2建立风险补偿机制...................................................94.3加强对委托理财业务的监管...........................................9结论...................................................................11参考文献..............................................................12致谢..........................................................
