【摘要】：近年來(lái)，我國(guó)銀行業(yè)全面開(kāi)放，形成國(guó)有銀行、中小股份制銀行、城市商業(yè)銀行、農(nóng)村信用社、中國(guó)郵政儲(chǔ)蓄銀行全面競(jìng)爭(zhēng)銀行傳統(tǒng)業(yè)務(wù)的局面。外資銀行則與國(guó)內(nèi)的銀行競(jìng)爭(zhēng)高端銀行業(yè)務(wù)，，銀行業(yè)的競(jìng)爭(zhēng)日趨激烈。一方面在資本市場(chǎng)上，我國(guó)企業(yè)通過(guò)創(chuàng)業(yè)板、中小板上市的數(shù)量增多。與過(guò)去相比，優(yōu)質(zhì)企業(yè)更容易通過(guò)發(fā)行企業(yè)債、接受私募基金、通過(guò)項(xiàng)目融資、資產(chǎn)證券化等方式直接融資。銀行的存貸業(yè)務(wù)收入相對(duì)降低。另一方面，我國(guó)金融活動(dòng)日益繁榮，國(guó)民經(jīng)濟(jì)處在轉(zhuǎn)型升級(jí)的關(guān)鍵時(shí)期，需要有投資銀行業(yè)務(wù)支撐企業(yè)并購(gòu)重組，公開(kāi)上市，為大型項(xiàng)目融資等等。因此，商業(yè)銀行開(kāi)展投行業(yè)務(wù)具有重要意義。 本文采用歷史分析法、定性分析法、實(shí)證分析和規(guī)范分析相結(jié)合的方法，以投行業(yè)務(wù)的起源和國(guó)外發(fā)展經(jīng)驗(yàn)、商業(yè)銀行開(kāi)展投行業(yè)務(wù)的現(xiàn)狀、形成的競(jìng)爭(zhēng)格局、不同層次商業(yè)銀行發(fā)展投行業(yè)務(wù)的建議和風(fēng)險(xiǎn)控制這四個(gè)角度展開(kāi)分析研究。并且就我國(guó)商業(yè)銀行開(kāi)展投資銀行業(yè)務(wù)優(yōu)勢(shì)和劣勢(shì)提出改進(jìn)措施。同時(shí)，基于投資銀行業(yè)務(wù)的需求是經(jīng)濟(jì)發(fā)展階段來(lái)決定，因此開(kāi)展投資銀行業(yè)務(wù)時(shí)除了占領(lǐng)市場(chǎng)份額外更應(yīng)該注重的是風(fēng)險(xiǎn)管理，防止出現(xiàn)投行業(yè)務(wù)風(fēng)險(xiǎn)帶來(lái)的巨額損失。針對(duì)主要的投行業(yè)務(wù)類(lèi)型提出了相應(yīng)的風(fēng)險(xiǎn)管理措施。
[Abstract]:In recent years, China's banking industry has been fully open, forming a situation in which state-owned banks, small and medium-sized joint-stock banks, urban commercial banks, rural credit cooperatives and postal savings banks of China are competing for the traditional business of banks in an all-round way. Foreign banks compete with domestic banks for high-end banking business. On the one hand, in the capital market, Chinese enterprises through the gem, the number of small-and medium-sized boards listed increased. Compared with the past, high-quality enterprises are more likely to issue corporate bonds, accept private equity funds, through project financing, asset securitization and other forms of direct financing. The bank's deposit and loan business income is relatively low. On the other hand, the financial activities of our country are booming day by day, and the national economy is in the critical period of transformation and upgrading, which needs investment banking business to support the merger and reorganization of enterprises, public listing, financing for large projects, and so on. Therefore, the commercial bank carries on the investment bank business to have the important significance. This paper adopts the methods of historical analysis, qualitative analysis, empirical analysis and normative analysis, taking the origin of investment banking business and foreign development experience as the basis, the present situation of commercial banks carrying out investment banking business and the competitive pattern formed. The suggestion and risk control of different levels of commercial banks to develop investment banking business are analyzed and studied. And puts forward the improvement measure to our country commercial bank to carry on the investment bank service superiority and the inferiority. At the same time, the demand of investment banking business is decided by the stage of economic development, so investment banking business should pay more attention to risk management in addition to occupying market share, so as to prevent huge losses caused by investment banking business risks. According to the main investment banking business types, the corresponding risk management measures are put forward.
【學(xué)位授予單位】：首都經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：F832.2

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