So support staff can perform tasks for both the banking and securities units, which should increase efficiency, lower costs and improve risk management.

这样员工可以同时完成银行部门和证券部门的业务，从而提高效率，降低成本，以及提高风险管理水平。

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A securities firm shall have a complete procedure for the management of risk limits. The procedure shall include the calculation method, allocation method, and implementation of monitoring processes.

证券商对风险资本限额之管理应有一套完备之程序，包括其估算之方法，配置之方式，及监控作业之执行等。

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At the same time, researching on stock brokerage business risk management of GF securities, also gives other securities a useful reference.

同时，通过对广发证券经纪业务风险管理进行系统研究，也期望为证券同业提供一定借鉴。

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Finally, I just want to say, next lecture is January twenty-eighth and we're going to talk about portfolio diversification, which is one very important application of the fundamental principle of risk management, as applied to securities.

最后，我想说下一讲是在1月28日,到时我们会谈谈资产组合多样化，这是风险管理基本原则中,对证券投资来说，这是非常重要的一项应用。

耶鲁公开课 - 金融市场课程节选

Morgan Stanley's own website lists 20 pages of available jobs in its North American institutional securities division, including many technical and risk management posts but also positions in equity research, in derivatives and in prime brokerage.

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The CFTC said Wednesday that the New York firm, a securities broker, commodities trader and provider of risk-management services, failed to put in place adequate risk policies and controls in 2008 and early 2009, a period that included the depths of the financial crisis.

WSJ: FCStone fined $1.5 million in CFTC settlement

As I explained in a book I co-authored some time ago, in an environment like this bankers have grown up as abacus bankers, record keepers of money flows who derive income from seigniorage, from the passive creation of money through interest bearing-loans and government-backed securities rather than from true banking, and from active risk management.

FORBES: Why Do Bankers Make So Many Stupid Mistakes?