本文選題：金融市場(chǎng) + 融資融券�。� 參考：《昆明理工大學(xué)》2013年碩士論文

【摘要】：中國(guó)自從1992年后有了證券金融市場(chǎng),至今已經(jīng)經(jīng)歷了20于年。在這20年中,中國(guó)的證券金融市場(chǎng)經(jīng)歷了低谷和高峰,但是都在不斷完善、成熟、創(chuàng)新中。進(jìn)入新千年后,隨著國(guó)外金融機(jī)構(gòu)的進(jìn)入以及金融創(chuàng)新的推進(jìn),對(duì)我國(guó)的金融市場(chǎng)、金融機(jī)構(gòu)形成了極大的挑戰(zhàn),客觀上要求我國(guó)的金融市場(chǎng)和金融機(jī)構(gòu)能夠更快的成熟起來(lái),參與到國(guó)際金融的大家庭中去,抵御住國(guó)際資本的沖擊。 證券公司作為金融市場(chǎng)的一員,特別是我國(guó)的證券公司,長(zhǎng)久以來(lái)由于歷史、政策等的原因已經(jīng)遠(yuǎn)遠(yuǎn)落后于先進(jìn)國(guó)家的證券公司,在國(guó)內(nèi)更是遠(yuǎn)遠(yuǎn)落后于銀行、保險(xiǎn)等金融機(jī)構(gòu),這客觀上要求證券公司加快成長(zhǎng)的步伐,強(qiáng)大起來(lái)。為了使證券公司盡快的成熟起來(lái),強(qiáng)大起來(lái),能夠迎接未來(lái)更加激烈的競(jìng)爭(zhēng),2010年,證券行業(yè)迎來(lái)了證券業(yè)創(chuàng)新的元年,這一年證券金融市場(chǎng)推出了融資融券業(yè)務(wù),該項(xiàng)業(yè)務(wù)將在一定程度上改變證券公司被動(dòng)經(jīng)營(yíng)的局面,提高主動(dòng)經(jīng)營(yíng)的能力。融資融券是指證券公司可以為客戶提供資金支持供客戶買(mǎi)入標(biāo)的上市證券,或者給客戶提供標(biāo)的上市證券供其賣(mài)出,證券公司收取傭金和利息,同時(shí)提高客戶對(duì)證券公司的依存度。由于融資融券業(yè)務(wù)是一項(xiàng)金融創(chuàng)新業(yè)務(wù),它能夠給證券公司帶來(lái)收入,增強(qiáng)證券公司的競(jìng)爭(zhēng)力,所以該項(xiàng)業(yè)務(wù)的競(jìng)爭(zhēng)特別激烈。 國(guó)泰君安證券是國(guó)內(nèi)最大的證券公司之一,持有證券行業(yè)的全牌照,擁有強(qiáng)大的資本實(shí)力和廣大的客戶資源,融資融券業(yè)務(wù)已經(jīng)走在了國(guó)內(nèi)很多證券公司的前端。但是,即使是這樣,國(guó)泰君安證券公司融資融券業(yè)務(wù)的開(kāi)展依然面臨著巨大的競(jìng)爭(zhēng)壓力,稍有不慎就有可能被其它證券公司超越。因?yàn)橐龊萌谫Y融券業(yè)務(wù),需要充分綜合公司自身的所有資源,制定合理的戰(zhàn)略戰(zhàn)術(shù),顧慮到所涉及的主觀、客觀、宏觀、微觀因素,才能找到一套好的開(kāi)展融資融券業(yè)務(wù)的業(yè)務(wù)模式,包括公司業(yè)務(wù)戰(zhàn)略、具體工作方法,業(yè)務(wù)制度、營(yíng)銷模式等。 文章通過(guò)國(guó)泰君安融資融券業(yè)務(wù)開(kāi)展的實(shí)證分析,主要是通過(guò)對(duì)融資融券業(yè)務(wù)的理論進(jìn)行闡述,結(jié)合國(guó)泰君安證券公司融資融券業(yè)務(wù)的戰(zhàn)略、業(yè)務(wù)營(yíng)銷模式、業(yè)務(wù)制度、交易策略、市場(chǎng)、客戶等進(jìn)行綜合分析,希望能找到一套更加適合國(guó)泰君安證券公司融資融券業(yè)務(wù)發(fā)展的新模式,形成一個(gè)行業(yè)規(guī)范。有利于證券公司開(kāi)展融資融券業(yè)務(wù),也有利于客戶利用融資融券進(jìn)行投資,獲取更大的經(jīng)濟(jì)價(jià)值,減少虧損,達(dá)到我國(guó)金融市場(chǎng)、金融機(jī)構(gòu)、金融投資者多贏的局面
[Abstract]:China has had a securities financial market since 1992, and has experienced 20 years. In the past 20 years, China's securities financial market has experienced a low and peak, but are constantly improving, mature, innovation. After entering the new millennium, with the entry of foreign financial institutions and the promotion of financial innovation, the financial institutions of our country have formed a great challenge to the financial market, which objectively requires that the financial markets and financial institutions of our country be able to mature more quickly. Participate in the international financial family to withstand the impact of international capital. As a member of the financial market, especially the securities companies of our country, securities companies have lagged far behind the securities companies of advanced countries for a long time because of the history and policies, and are far behind the banks in China. Insurance and other financial institutions, this objectively requires securities companies to accelerate the pace of growth, strong. In order to make the securities companies mature and strong as soon as possible, and to be able to meet the fiercer competition in the future, in 2010, the securities industry ushered in the first year of innovation in the securities industry. This year, the securities financial market launched the margin trading business. This business will to some extent change the situation of passive operation of securities companies, improve the ability of active management. Margin financing refers to securities companies that can provide their clients with financial support to buy underlying listed securities or offer them the underlying listed securities for sale, and the securities companies charge commissions and interest. At the same time, improve the customer's dependence on the securities company. Because margin financing is a financial innovation business, it can bring income to securities companies and enhance the competitiveness of securities companies, so the competition of this business is particularly fierce. Guotai Junan Securities is one of the largest securities companies in China, holding the full license of the securities industry, with strong capital strength and vast customer resources, margin financing business has been in the front end of many domestic securities companies. However, even so, Guotai Junan Securities financing and short margin business is still facing great competition pressure, a little inadvertently may be overtaken by other securities companies. Because in order to do a good job in margin trading, we need to fully integrate all the company's own resources, formulate reasonable strategies and tactics, and take into account the subjective, objective, macro and micro factors involved. In order to find a good business model of margin financing, including the company business strategy, specific working methods, business system, marketing model and so on. Through the empirical analysis of Guotai Junan margin business, mainly through the theory of margin trading, combined with Guotai Junan Securities financing margin business strategy, business marketing model, business system, Through comprehensive analysis of trading strategy, market, customers and so on, we hope to find a new model which is more suitable for Guotai Junan Securities Company to develop margin and margin business and form an industry standard. It is beneficial for securities companies to carry out margin financing and short selling business, but also conducive to clients' investment by margin financing, gain greater economic value, reduce losses, and reach the situation of multiple winners in our financial market, financial institutions and financial investors.
【學(xué)位授予單位】：昆明理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.39

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