本文關(guān)鍵詞： 證券公司 核心競爭力 評價(jià)指標(biāo) 金融創(chuàng)新能力 人力資源能力　出處：《內(nèi)蒙古財(cái)經(jīng)大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

【摘要】：黨的十八大三中全會為金融市場的進(jìn)一步完善勾勒出了基本路線圖。一方面，證券公司投資領(lǐng)域?qū)⑦M(jìn)一步開放定會迎來更大的發(fā)展機(jī)遇，同時(shí)，證券市場對外開放程度前所未有，競爭必然空前劇烈。目前，我國證券公司在競爭力方面存在著很多問題，歸納起來主要以下幾個(gè)方面：第一，業(yè)務(wù)結(jié)構(gòu)單一，缺乏創(chuàng)新能力，我國證券公司的主要收入來源為股票等有價(jià)證券的承銷與經(jīng)紀(jì)業(yè)務(wù)，而企業(yè)并購等資產(chǎn)管理業(yè)務(wù)沒有有效開展。第二，我國證券公司風(fēng)險(xiǎn)防控能力薄弱，沒有建立起科學(xué)的風(fēng)險(xiǎn)防控組織體系、機(jī)制與流程。第三，，我國證券公司治理存在重大缺陷，股東會、董事會、監(jiān)事會流于形式，公司處于大股東的掌握之下，嚴(yán)重傷害了小股東的利益。由于多種因素，我國證券公司在競爭力的培養(yǎng)方面缺乏足夠的重視，也沒有提升核心競爭力的有效的方法和途徑，證券公司核心競爭力體系的構(gòu)建是解決上述問題的唯一手段也是當(dāng)務(wù)之急。 本文根據(jù)“知網(wǎng)”43篇理論文獻(xiàn)的研究從而考察理論界對證券公司核心競爭力整體認(rèn)識，通過對世紀(jì)證券、首創(chuàng)證券等在哈爾濱分支機(jī)構(gòu)實(shí)務(wù)界管理專家的問卷調(diào)查與交流收集競爭力有關(guān)指標(biāo)，采用定性與定量研究方法，最終得出創(chuàng)新能力、人力資源能力、風(fēng)險(xiǎn)防控能力等八項(xiàng)能力作為證券公司核心競爭力的評價(jià)指標(biāo)。運(yùn)用分層法與綜合因子分析法，將上述八個(gè)一級指標(biāo)分層量化，明確了各核心競爭力指標(biāo)所占的比重，能夠?yàn)樽C券公司評價(jià)與提升自身核心競爭力提供有益的借鑒�；趧�(chuàng)新能力、人力資源能力、風(fēng)險(xiǎn)防控能力對證券公司競爭更具有決定性意義，對此提出了培養(yǎng)建議作為提高我國證券公司核心競爭力的基本對策。 證券公司核心競爭力評價(jià)指標(biāo)體系的研究歷來是難點(diǎn)，因?yàn)樽C券公司核心競爭力評價(jià)指標(biāo)之間關(guān)系交錯(cuò)，很難被量化，從中識別核心競爭力評價(jià)指標(biāo)具有相當(dāng)難度。本文構(gòu)建核心競爭力評價(jià)指標(biāo)亮點(diǎn)有兩方面：一是比較充分把握理論界、實(shí)務(wù)界認(rèn)識，收集信息較多，構(gòu)建過程嚴(yán)格遵循核心競爭力基本特征標(biāo)準(zhǔn)并采用定性與定量相結(jié)合的方法從而使構(gòu)建過程比較嚴(yán)謹(jǐn)，二是指出企業(yè)應(yīng)將有限資源運(yùn)用到創(chuàng)新能力、人力資源能力、風(fēng)險(xiǎn)防控能力等更具核心競爭力決定意義的評價(jià)指標(biāo)上，有利于證券公司在培養(yǎng)核心競爭力過程中資源運(yùn)用的效益最大化。
[Abstract]:The third Plenary session of the 18 CPC Central Committee laid out a basic road map for further improvement of the financial market. On the one hand, the further opening up of the investment field of securities companies will surely usher in greater development opportunities, at the same time, At present, there are many problems in the competitiveness of securities companies in our country, which can be summarized as follows: first, the business structure is single, the lack of innovative ability, The main sources of income of securities companies in China are underwriting and brokerage of securities such as stocks, while asset management business such as mergers and acquisitions has not been carried out effectively. Second, the ability of risk prevention and control of securities companies in China is weak. No scientific risk prevention and control organization system, mechanism and process has been established. Third, there are major defects in the governance of securities companies in China. Shareholders' meetings, boards of directors and supervisory boards are mere formalities, and the company is under the control of major shareholders. It has seriously harmed the interests of minority shareholders. As a result of various factors, our securities companies have not paid enough attention to the cultivation of competitiveness, and there are no effective ways and means to enhance their core competitiveness. The construction of the core competitive power system is the only means to solve the above problems. Based on the study of 43 theoretical documents in "Zhiwang", this paper investigates the overall understanding of the core competitiveness of securities companies in the theoretical circle, and through the analysis of securities in the century, The questionnaire survey and exchange of management experts in the branch offices in Harbin collected relevant indicators of competitiveness, using qualitative and quantitative research methods, and finally came to the conclusion of innovation ability, human resources ability, Eight abilities, such as risk prevention and control ability, are used to evaluate the core competitiveness of securities companies. By means of stratification method and comprehensive factor analysis method, the above eight first-level indexes are stratified and quantified, and the proportion of each core competence index is defined. It can provide useful reference for securities companies to evaluate and enhance their core competitiveness. Based on innovation ability, human resource ability, risk prevention and control ability, it is more decisive for securities companies to compete. Therefore, some suggestions are put forward as the basic countermeasures to improve the core competitiveness of Chinese securities companies. The research on the evaluation index system of the core competence of the securities company has always been a difficult point, because the relationship between the evaluation index of the core competence of the securities company is interlaced, and it is difficult to quantify. It is very difficult to identify the evaluation index of the core competence. There are two aspects to construct the evaluation index of the core competence in this paper: one is to fully grasp the theoretical circle, the practical circle to understand, collect more information, The construction process strictly follows the basic characteristic standard of core competence and adopts the method of combining qualitative and quantitative to make the construction process more rigorous. The second is to point out that enterprises should apply limited resources to innovation ability and human resource ability. Risk prevention and control ability and other more decisive evaluation indicators of core competitiveness are conducive to maximize the benefit of resource utilization in the process of cultivating core competitiveness of securities companies.
【學(xué)位授予單位】：內(nèi)蒙古財(cái)經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F832.39

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