論證券商的法律風險

The Research of Legal Risk and Control for Securities Firms

中國古諺「天有不測風雲，人有旦夕禍福」，人生處處有危機，資本市場更是如此，任何投資一定有盈虧的風險，既然無法避免，那就退而求其次，設法瞭解它可能何時發生、發生在何處、如何發生、為何發生，並且評估風險發生的損害，控制損害程度。2008 年9 月以前，不會有人預料雷曼兄弟（Lehman Brothers）這個經營百年的全美第四大投資銀行會在一夕之間宣布倒閉，而且引發全球性的系統風險，對於世界經濟發展造成的損害更是無法估計。

There is an old Chinese saying: “As the weather is unpredictable, what would happen to people is also unpredictable.”Moreover, none predicated Lehaman Brothers would be bankruptcy before September 2008 which was the no. 4th private bank in the United States and its branch crossed 30 countries. Lehman Brothers was not damaged themselves but also hurted the global development of economics.