摘要：近二十年来我国证券市场的成长取得了很大的成就，对我国经济稳步提升也起到了巨大的推动作用，但在其成长过程中也出现许多问题，源于伴随着的诸多风险。其中，操作风险就是一种比较容易发生且普遍存在的一类风险，并且这类风险一旦发生危害极大，对国民经济发展也产生很大影响，沉重打击投资者的信心，损害投资者的利益，降低证券市场的运行效率。曾经的山一证券倒闭案、百富勤破产案、日本瑞惠事件与2013年我国光大证券乌龙指事件，都是由该类风险所引发的，这些事件在震惊中外的同时，也引发了证券公司对操作风险管理问题的关注。本文以最近发生的光大证券乌龙指事件为例，结合我国证券市场实际情况，分析操作风险产生的原因，对我国证券市场造成的影响进行总结，以此提出解决操作风险管理问题上的应对之策。
关键字： 证券市场、操作风险、光大证券
ABSTRACT：Chinese securities market has made great progress and development in the recent twenty years, and has made a great role in promoting the economic development, however, it is also accompanied by a number of risk and raised a lot of questions. Operational risk is a relatively easy and widespread occurrence of a class of risk which once happened will make a great impact on economy, and bring a heavy blow to the confidence of inventors ,a great damage to the interests of inventors,and reduce the efficiency of the securities market. Some events are caused by this risk, for example, the Yama securities bankruptcy, the Peregrine collapse, the event of RH in japan and the Everbright Securities Oolong events in 2013,and so on.These events are shocking, but also raised awareness about the risks of the operation of securities companies.This article refers to Everbright Securities Oolong recent events, for example, with Chinese securities market realities, analyze the causes of operational risk arising from the impact of China's securities market which can cause summarize, propose solutions countermeasures.
Key Words: Securities market Operational risk Everbright Securities
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