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证券公司处在证券市场的中枢，对其风险来源与控制问题的研究具有重要意义。本文从证券公司的制度、业务、管理和信息等方面分析了证券公司的风险来源与控制问题，认为证券公司风险主要来源于资产流动性、业务定位、人员流动、信息管理和制度执行等方面，而控制证券公司风险的主要措施有建立健全管理制度、按收益一风险对应关系定位各类证券业务、发挥计算机系统防范风险的作用、加强对全体员工的风险意识教育等。
Securities companies in the securities market center, its source of risk and control of research is of great significance. This paper analyzes the sources of risk and control of securities companies from the aspects of the system, business, management and information of securities companies. It considers that the risks of securities companies are mainly from aspects of assets liquidity, business orientation, personnel flow, information management and system implementation, The main measures to control the risk of securities companies include establishing and perfecting the management system, positioning various types of securities businesses according to the relationship between revenue and risk, giving play to the role of computer systems in preventing risks, and strengthening risk awareness education for all employees.