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人为错误可以通过增加审核程序(通过人为判断和系统条件判断等)最大限度地规避,而交易系统问题的原因可能是多方面的。光大证券“乌龙指”事件及其后续发生的系列事件并非人为错误也绝非是交易系统本身的问题那么简单,而是涉及光大证券的整个内部环境及其内部控制与风险管理制度设计与执行的重大缺陷。这件事情启发我们去进一步探究其环节风控全部“被失效”的真实原因,更好地去管理证券公司面临的经营风险,这也有利于证券业量化投资等创新业务的整顿规范。
Human error can be circumvented to maximize the audit process (by artificial judgments and system conditions, etc.) to maximize the problems of the trading system may be multifaceted. Everbright Securities “Oolong refers to ” incident and its subsequent series of events is not human error is not the problem of the trading system itself is not so simple, but rather involves the entire internal environment of Everbright Securities and its internal control and risk management system design And implementation of the major flaws. This matter inspired us to further explore the true reasons for the “windfall control” at all levels so as to better manage the operational risks faced by securities companies. This is also conducive to the consolidation of innovative businesses such as quantitative investment in the securities industry.