本文選題：證券資產(chǎn)管理公司 + 資產(chǎn)管理業(yè)務　； 參考：《山東大學》2015年碩士論文

【摘要】：得益于我國經(jīng)濟的騰飛和金融市場的不斷完善,我國證券公司的資產(chǎn)管理業(yè)務在近幾年獲得快速發(fā)展,構(gòu)成了與銀行理財、信托計劃、保險理財、基金等并駕齊驅(qū)的競爭格局。隨著改革的深化推進,經(jīng)濟轉(zhuǎn)型的逐步成功,資本市場將獲得一個更深厚的發(fā)展基礎,未來券商資產(chǎn)管理業(yè)務將有更大的發(fā)展空間和作為。同時,國務院、證監(jiān)會相繼出臺一系列有關(guān)資本市場深化改革、轉(zhuǎn)型升級的利好政策,為券商資產(chǎn)管理業(yè)務的進一步發(fā)展創(chuàng)造出良好的政策環(huán)境。在此大背景之下,不少券商抓住機遇開始盡早布局提升資產(chǎn)管理業(yè)務,以求在未來激烈的行業(yè)競爭中取得優(yōu)勢。H證券有限公司審時度勢,及時作出戰(zhàn)略決策,于2014年將原有的H證券有限公司北京證券資產(chǎn)管理分公司升級為專門的資產(chǎn)管理業(yè)務子公司一H證券(上海)資產(chǎn)管理公司。選擇什么樣的競爭戰(zhàn)略,采取什么樣的保障措施,才能發(fā)展好、利用好新成立的資產(chǎn)管理子公司,從而提高資產(chǎn)管理業(yè)務競爭力,是擺在H證券有限公司和H證券資產(chǎn)管理公司面前的重要問題,值得深入分析研究。本文將分析研究適宜于H證券資產(chǎn)管理公司的競爭戰(zhàn)略。本文采取理論研究與實際調(diào)研相結(jié)合研究方法,在閱讀大量理論文獻、行業(yè)資訊和調(diào)查訪問公司內(nèi)部人員的基礎上,總結(jié)了證券公司資產(chǎn)管理業(yè)務的基本情況,運用PEST、波特五力模型以及SWOT等多種分析工具,對H證券資產(chǎn)管理公司的內(nèi)部環(huán)境和外部環(huán)境的進行全面分析,找出了有針對性的企業(yè)競爭戰(zhàn)略,即集中差異化競爭戰(zhàn)略——在面對的顧客群上,集中主要精力服務銀行、信托、保險等機構(gòu)投資者；在資產(chǎn)管理產(chǎn)品的設計上,注重體現(xiàn)公司在量化投資方面的領(lǐng)先特色,走差異化路線,多設計量化投資類產(chǎn)品。為確保集中差異化競爭戰(zhàn)略順利執(zhí)行落實,切實提升主動管理能力,本文明確指出需要采取加強人才儲備、加強品牌建設、豐富產(chǎn)品設計、夯實風險識別和控制能力、加強內(nèi)外部資源整合等具體保障措施。本文不但對H證券資產(chǎn)管理公司在未來市場競爭中獲勝有指導意義,也對其他證券公司的資產(chǎn)管理業(yè)務發(fā)展具有借鑒價值。本文的創(chuàng)新點在于通過分析H證券資產(chǎn)管理公司發(fā)展的制約因素和積極因素,外部限制和內(nèi)在優(yōu)勢,結(jié)合資產(chǎn)管理行業(yè)的發(fā)展現(xiàn)狀,根據(jù)當前監(jiān)管法律法規(guī),充分考慮H證券資產(chǎn)管理公司實際情況,針對其集中服務機構(gòu)投資者、發(fā)展獨具特色的差異化業(yè)務、提高主動管理能力等方面提出了建設性的競爭戰(zhàn)略,并進一步提出了適用于競爭戰(zhàn)略實施的保障措施。
[Abstract]:Thanks to the rapid development of China's economy and the continuous improvement of the financial market, the asset management business of China's securities companies has developed rapidly in recent years, forming a competitive pattern with bank financing, trust plans, insurance finance and funds. With the deepening of the reform and the gradual success of the economic transformation, the capital market will get one. At the same time, the State Council and the SFC have introduced a series of good policies on the deepening of the reform of capital markets and the transformation and upgrading of the capital market, and created a good policy environment for the further development of the asset management business of the securities dealers. Under this background, Many securities companies seize the opportunity to start to improve the asset management business as soon as possible in order to gain the advantage of.H Securities Limited in the future fierce competition and make strategic decisions in time. In 2014, the Beijing securities asset management division of the original H Securities Co., Ltd. was upgraded to a special asset management business subsidiary H. Securities (Shanghai) Asset Management Co. What kind of competition strategy is chosen and what kind of safeguard measures are taken to develop well. It is an important problem for H Securities Limited company and H securities Asset Management Co to make use of the newly established asset management subsidiary and improve the competitiveness of asset management business. It is worthy of in-depth analysis and research. This article will analyze and study the competitive strategy suitable for H securities Asset Management Co. This paper combines theoretical research and practical research method. On the basis of reading a lot of theoretical literature, industry information and investigating the internal personnel of the company, this paper summarizes the basic situation of asset management in securities companies, and uses PEST, Potter's five force model. A variety of analytical tools such as SWOT and other analysis tools are used to make a comprehensive analysis of the internal and external environment of the H securities Asset Management Co, and to find out the pertinent competitive strategy of the enterprise, namely, the centralized differentiation competition strategy, which focuses on the institutional investors, such as banking, trust, insurance and other institutional investors, in the face of the customer group; In the design of the product, we should pay attention to the leading features of the company in quantitative investment, dissimilation line, and more design and quantification of investment products. In order to ensure the successful implementation of the centralized and differentiated competition strategy and improve the active management ability, this paper clearly points out that the need to strengthen the reserve of talents, strengthen the construction of the brand, and enrich the product design, This article not only has the guiding significance for the H securities Asset Management Co to win the future market competition, but also has the reference value for the development of the assets management business of other securities companies. The new point of this paper is through the analysis of the H securities asset management public. The constraints and positive factors of the development of the company, the external constraints and internal advantages, combined with the current situation of the development of the asset management industry, according to the current regulatory laws and regulations, fully consider the actual situation of the H securities Asset Management Co, to focus on its centralized service institutional investors, to develop unique and differentiated services and to improve the ability of active management. A constructive competitive strategy has been put forward, and further safeguards for the implementation of the competitive strategy have been put forward.
【學位授予單位】：山東大學
【學位級別】：碩士
【學位授予年份】：2015
【分類號】：F271;F832.39

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本文編號：1980343