Risk Management
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Risk Management

Primacy of Risk Management

Compliance, internal control and risk management are the key components of the company culture which ensures a sustainable growth for our company and are deemed as our company’s competitive edge . Therefore, we always place the highest priority on risk control, eliminating any speculation, fluke or edge ball in the execution.

The concept of risk control:
  • Comprehensive risk management is the basic guarantee for the investors’ interests and the development of the company
  • Risk cannot be eliminated, but can be managed and controlled
  • Every employee should be involved in risk management
The culture of risk control:
  • Three lines of safeguards with the participation of all employees
  • One-vote veto of compliance and risk control
  • No record of significant penalties by the regulator since inception
The Four Pillars of Risk Management
  • Three lines of safeguards
  • Two meetings
  • One platform
  • Internal control policy in investment and research process
  • Risk control threshold for investment transaction
  • Investment and research system
  • Transaction system
  • Valuation system
  • Performance system
  • Self-build system
  • 6 risk control staff
  • 8 compliance staff
  • 2 internal auditors

Risk Control Process

  • Risk recognition

    Recognize market risk, credit risk, liquidity risk, etc.

  • Risk Analysis

    Analyze the risk using qualitative and quantitative methods including stress tests ,internal credit rating system, etc.

  • Regular Reports

    All risk reports are sent to investment team, the management and clients regularly for risk assessment

  • Risk Control Decision

    The management makes risk control decision according to the risk management opinion

  • Risk Control

    Execution of risk control policies

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