本文關(guān)鍵詞：中國證券行業(yè)的發(fā)展與監(jiān)管探討　出處：《西南財經(jīng)大學(xué)》2012年碩士論文　論文類型：學(xué)位論文

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【摘要】：隨著上海證券交易所第一記開市鑼聲的敲響,中國證券資本市場的大門就此打開,那些具有證券投資需要的公眾投資者于是蜂擁而入,從此全國證券行業(yè)從無到有、由小到大,迅速成長為我國金融業(yè)發(fā)展的一支重要推動力量。 然而,隨著證券行業(yè)逐步成長為一棵參天大樹,這個行業(yè)的發(fā)展方式也進入了一個必須修正與轉(zhuǎn)變的時期。 本文正是以廣泛深入的調(diào)查研究為基礎(chǔ),結(jié)合本人證券行業(yè)從業(yè)的經(jīng)驗和心得,合理運用服務(wù)營銷和戰(zhàn)略管理等理論,以前瞻性的眼光尋找證券行業(yè)的未來發(fā)展之路,并相應(yīng)探討對應(yīng)的監(jiān)管方式,促進中國證券行業(yè)乃至整個國民經(jīng)濟的的穩(wěn)定與發(fā)展。 第一章為引言部分,主要介紹了文章的選題背景與研究意義,并簡要闡述了相關(guān)了理論基礎(chǔ)和國內(nèi)外學(xué)者所做的一些研究成果。 第二章在分析了中國證券行業(yè)發(fā)展的階段性特點和外部環(huán)境的基礎(chǔ)上,分析了影響證券行業(yè)發(fā)展的主要瓶頸。 第三章國際證券行業(yè)現(xiàn)狀比較與借鑒,則是從國際視野的角度,分析了美、日、韓三個國家的證券行業(yè)發(fā)展軌跡,從中總結(jié)出幾點值得中國證券行業(yè)發(fā)展借鑒的結(jié)論。 第四章作為本論文的核心章節(jié),分析了中國證券行業(yè)未來發(fā)展的幾大趨勢,并具體闡述了六條可供選擇的可行舉措以及每條舉措的實施方法。 第五章是第四章的一個延伸和拓展,主要是在總結(jié)中國現(xiàn)行證券行業(yè)監(jiān)管制度特征與缺陷的基礎(chǔ)上,探索給出了幾條與未來中國證券業(yè)發(fā)展相適應(yīng)的監(jiān)管建議。 第六章在前面五個章節(jié)的基礎(chǔ)上,總結(jié)了本文的主要內(nèi)容和所得到的主要結(jié)論,作為本文的結(jié)尾。
[Abstract]:With the sound of the first opening gong of the Shanghai Stock Exchange, the door of China's securities capital market has opened, and the public investors who have the need to invest in securities have flocked in. Since then, the national securities industry has grown rapidly from small to large and has become an important driving force for the development of China's financial industry. However, with the securities industry gradually growing into a towering tree, the development of this industry has entered a period that must be revised and changed. This article is based on extensive and in-depth investigation and research, combined with my experience and experience in the securities industry, reasonable use of service marketing and strategic management theory. In order to promote the stability and development of China's securities industry and even the whole national economy, this paper looks forward to the future development of the securities industry, and probes into the corresponding supervision methods. The first chapter is the introduction, which mainly introduces the background and significance of the topic, and briefly describes the relevant theoretical basis and some research results made by domestic and foreign scholars. On the basis of analyzing the stage characteristics and external environment of the development of China's securities industry, the second chapter analyzes the main bottlenecks that affect the development of the securities industry. The third chapter compares and draws lessons from the current situation of the international securities industry, and analyzes the development track of the securities industry in the United States, Japan and South Korea from the perspective of the international perspective. From these conclusions, we can draw some conclusions that are worthy of the development of China's securities industry. Chapter 4th, as the core chapter of this paper, analyzes several major trends of the future development of China's securities industry, and concretely expounds six feasible measures available for selection and the implementation methods of each measure. Chapter 5th is an extension and extension of Chapter 4th, which is mainly based on summarizing the characteristics and defects of China's current securities regulatory system. This paper gives several regulatory suggestions suitable for the future development of China's securities industry. Chapter 6th summarizes the main contents and conclusions of this paper on the basis of the previous five chapters.
【學(xué)位授予單位】：西南財經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：F832.51

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