證券公司 股票期權(quán)業(yè)務(wù)方案

1、XX證券公司證券公司股票期權(quán)業(yè)務(wù)方案股票期權(quán)業(yè)務(wù)方案2014年12月XX證券公司股票期權(quán)業(yè)務(wù)方案24.4.3應(yīng)急處置流程......................................................................................................................14第五章第五章期權(quán)自營(yíng)方案期權(quán)自營(yíng)方案......................

2、..........................................................................155.1自營(yíng)業(yè)務(wù)概述...............................................................................................................155.1.1自營(yíng)業(yè)務(wù)內(nèi)容...........

3、...........................................................................................................155.1.2自營(yíng)交易策略....................................................................................................

4、..................155.2自營(yíng)業(yè)務(wù)管理...............................................................................................................155.2.1概述.......................................................................

5、...............................................................155.2.2投資決策..............................................................................................................................155.2.3交易管理.........

6、.....................................................................................................................155.2.4合規(guī)與風(fēng)控...........................................................................................

7、...............................155.2.5績(jī)效評(píng)估..............................................................................................................................165.3自營(yíng)業(yè)務(wù)應(yīng)急預(yù)案.......................................

8、................................................................165.3.1應(yīng)急處置原則......................................................................................................................165.3.2應(yīng)急處置情形............

9、..........................................................................................................165.3.3組織體系.......................................................................................................

10、.......................165.3.4預(yù)防預(yù)警..............................................................................................................................165.3.5應(yīng)急處置.................................................

11、.............................................................................17第六章第六章期權(quán)做市商方案期權(quán)做市商方案............................................................................................186.1做市商業(yè)務(wù)概述與組織結(jié)構(gòu)............

12、.....................................................................186.1.1做市商業(yè)務(wù).....................................................................................................................186.1.2決策體系與組織架構(gòu)......

13、...............................................................................................186.1.3做市商權(quán)利與義務(wù).........................................................................................................186.1

14、.4做市商的權(quán)利.................................................................................................................186.1.5做市商的義務(wù)......................................................................................

15、...........................186.2做市商業(yè)務(wù)管理.....................................................................................................186.2.1業(yè)務(wù)流程概述...................................................................

16、..............................................186.2.2資金賬戶管理.................................................................................................................186.2.3合約管理.....................................

17、....................................................................................186.2.4策略管理.........................................................................................................................186.

18、2.5做市報(bào)價(jià)管理.................................................................................................................186.2.6對(duì)沖管理.......................................................................................

19、..................................196.2.7做市業(yè)務(wù)評(píng)估.................................................................................................................196.3做市商風(fēng)險(xiǎn)管理................................................

20、.....................................................196.3.1做市商風(fēng)險(xiǎn)類別.............................................................................................................196.3.2做市商風(fēng)險(xiǎn)管理原則與組織架構(gòu).......................

21、..........................................................196.3.3做市商風(fēng)險(xiǎn)管理措施.....................................................................................................196.4做市商業(yè)務(wù)應(yīng)急預(yù)案...............................

22、..............................................................196.4.1應(yīng)急處置原則.................................................................................................................196.4.2應(yīng)急處置情形...................

23、..............................................................................................19第七章第七章期權(quán)結(jié)算方案期權(quán)結(jié)算方案................................................................................................207.1結(jié)算業(yè)務(wù)概

24、述................................................................................................................207.2組織與管理.................................................................................................