煤炭供应链金融在我国蓬勃发展，已成为我国煤炭行业发展的新增动力，为 煤炭行业中小企业融资拓宽了渠道。煤炭供应链金融快速发展的同时也引发了各 种风险，针对煤炭供应链金融产生的风险，如何制定风险控制对策显得愈发重要。 因此本文选取 Y 企业煤炭供应链金融风险控制为例，研究煤炭供应链金融风险 控制存在问题的建议对策，以此推进煤炭供应链金融风险控制的研究与实践。 首先，对煤炭类型及其特点、供应链、煤炭供应链及其组成、供应链金融及 其模式和产品种类、煤炭供应链金融的含义与特点、供应链金融风险管理理论、 层次分析法（AHP）等进行归纳分析。其次，收集 Y 企业煤炭供应链金融风险控 制资料，结合煤炭供应链金融实际业务开展情况，分别对其煤炭供应链金融产品 应收账款融资、货权质押融资、订单采购融资的风险管理现状进行了分析。然后， 本文运用层次分析法（AHP）对 Y 企业煤炭供应链金融风险指标权重进行了定量 计算，建立了 Y 企业煤炭供应链金融风险评估体系。再次，在前文对 Y 企业煤炭 供应链金融及其风险管理发展现状分析、Y 企业煤炭供应链金融风险识别与评估 体系建立的基础上，提出 Y 企业煤炭供应链金融风险控制现存问题以及相应的风 险管理对策建议。具体内容为，I)针对 Y 企业煤炭供应链金融操作风险方面存在 煤炭供应链金融业务单据不标准、业务操作指引中部分职责要点不清晰、部分业 务人员操作不规范等问题，提出了将不标准业务单据分类进行风险管理、规范业 务操作流程，完善风险预警机制、提升业务团队人员综合素质。II）针对 Y 企业 煤炭供应链金融供应链运营中存在业务数据留存有限, 尚未建立有效的信息匹 配系统、风险点可视化程度不高等问题，提出了运用大数据技术完善客户信息， 建立有效的信息匹配系统、完善煤炭供应链金融产品结构化设计、建设煤炭供应 链金融生态系统。最后，为了保证对策建议的顺利实施提出相应的保障措施。 关键词，煤炭供应链；供应链金融；风险评估；风险控制；层次分析法II Abstract The booming development of coal supply chain finance in China has become a new driving force for the development of China's coal industry, and has broadened the financing channels for small and medium-sized enterprises in the coal industry. With the rapid development of coal supply chain finance, a variety of risks have arisen. In view of the risks arising from coal supply chain finance, how to formulate risk control countermeasures becomes more and more important. Therefore, this paper chooses Y enterprise coal supply chain financial risk control as an example to study the existing problems of financial risk control in coal supply chain, and to promote the research and practice of financial risk control in coal supply chain. Firstly, the types and characteristics of coal, supply chain, coal supply chain and its composition, supply chain finance and its model and product types, the meaning and characteristics of coal supply chain finance, supply chain financial risk management theory, analytic hierarchy process (AHP) are summarized and analyzed. Secondly, collecting financial risk control data of Y enterprise's coal supply chain, combining with the actual business development of coal supply chain finance, this paper analyzed the risk management status of accounts receivable financing, pledge financing, purchase order financing of Y enterprise's coal supply chain financial products. Then, this paper quantitatively calculates the weight of financial risk index of Y enterprise's coal supply chain by analytic method (AHP), and establishes the financial risk evaluation system of Y enterprise's coal supply chain. Thirdly, on the basis of the analysis of the current situation of Y enterprise's coal supply chain finance and its risk management and the establishment of Y enterprise's coal supply chain financial risk identification and evaluation system, the paper puts forward the existing problems of Y enterprise's coal supply chain financial risk control and corresponding risk management countermeasures and suggestions. Specific contents are as follows: I) In view of the problems existing in the financial operation risk of Y enterprise's coal supply chain, such as the non-standard financial operation documents of coal supply chain, the unclear key points of some responsibilities in business operation guidelines, and the non-standard operation of some business personnel, this paper puts forward the classification of non-standard business documents for risk management, standardization of business operation process, improvement of risk early warning mechanism and promotion of business groups. Comprehensive quality of team personnel. II) In view of the problems existing in the operation of Y enterprise's coalIII supply chain financial supply chain, such as the limited business data retention, the lack of effective information matching system and the low degree of visualization of risk points, this paper proposes to use big data technology to improve customer information, establish effective information matching system, improve the structural design of financial products in coal supply chain, and build the financial ecosystem of coal supply chain. Unification. Finally, in order to ensure the smooth implementation of the countermeasures and suggestions, the corresponding safeguards are put forward. Key words: Coal Supply Chain; Supply Chain Finance; Risk Assessment; Risk Control;Analytic Hierarchy ProcessI 目 录 摘要...............................................................................................................................I Abstract.........................................................................................................................II 1 引 言........................................................................................................................1 1.1 研究背景..........................................................................................................1 1.2 国内外研究现状及评述..................................................................................2 1.2.1 供应链金融相关研究............................................................................2 1.2.2 供应链金融风险控制相关研究............................................................3 1.2.3 煤炭供应链金融风险控制相关研究....................................................5 1.3 研究意义..........................................................................................................6 1.3.1 理论意义................................................................................................6 1.3.2 实践意义................................................................................................6 1.4 研究内容与研究方法......................................................................................7 1.4.1 研究内容................................................................................................7 1.4.2 研究方法................................................................................................9 1.5 本文的创新......................................................................................................9 1.6 本章小结..........................................................................................................9 2 理论基础..................................................................................................................10 2.1 煤炭的类型及其特点....................................................................................10 2.1.1 煤炭的类型..........................................................................................10 2.1.2 煤炭的特点..........................................................................................10 2.2 供应链、煤炭供应链及其组成....................................................................11 2.2.1 供应链及其组成..................................................................................11 2.2.2 煤炭供应链及其组成..........................................................................11 2.3 供应链金融及其模式和产品种类................................................................11 2.3.1 供应链金融的含义及特点..................................................................11 2.3.2 供应链金融当前主要模式..........................................................