本文選題：證券公司　切入點(diǎn)：競(jìng)爭(zhēng)力　出處：《濟(jì)南大學(xué)》2014年碩士論文　論文類(lèi)型：學(xué)位論文

【摘要】：2007年美國(guó)金融危機(jī)的爆發(fā)給世界各國(guó)金融體系的穩(wěn)定性帶來(lái)了巨大沖擊，中國(guó)證券公司由于處于發(fā)展初期，對(duì)危機(jī)反應(yīng)相對(duì)較弱，反而在危機(jī)后出現(xiàn)短時(shí)間的較強(qiáng)競(jìng)爭(zhēng)力，隨后在2011-2012年又陷入了發(fā)展的困境，整個(gè)行業(yè)經(jīng)營(yíng)狀況普遍下滑，成長(zhǎng)能力呈倒退趨勢(shì)的證券公司占整個(gè)行業(yè)的60%以上。 本文以尋找證券公司脫困策略為首要實(shí)際出發(fā)點(diǎn)，在第一章中，首先分析研究背景、研究意義、研究方法以及研究框架；第二章主要回顧、演繹、總結(jié)過(guò)去研究文獻(xiàn)，分析其研究的價(jià)值與不足，文獻(xiàn)研究主要從證券公司競(jìng)爭(zhēng)力研究的理論基礎(chǔ)——企業(yè)競(jìng)爭(zhēng)力，中國(guó)證券業(yè)協(xié)會(huì)、證券公司附屬機(jī)構(gòu)、學(xué)術(shù)論文與著作方面進(jìn)行；在第三章中，在堅(jiān)持綜合性、針對(duì)性、科學(xué)性、可操作性等一系列原則的基礎(chǔ)上，結(jié)合過(guò)去指標(biāo)要素的使用頻率，進(jìn)行指標(biāo)選取與指標(biāo)體系構(gòu)建，中國(guó)證券公司競(jìng)爭(zhēng)力指標(biāo)體系共包括5個(gè)潛在內(nèi)因變量、19個(gè)觀察內(nèi)因變量；為更好的呈現(xiàn)近幾年尤其是2012年證券公司的運(yùn)營(yíng)狀況，第四章從證券公司財(cái)務(wù)、經(jīng)紀(jì)業(yè)務(wù)、承銷(xiāo)與保薦、集合理財(cái)產(chǎn)品四個(gè)方面作系統(tǒng)性描述；第五章，運(yùn)用結(jié)構(gòu)方程模型分析中國(guó)證券公司競(jìng)爭(zhēng)力影響因素，實(shí)證結(jié)果顯示證券公司的經(jīng)營(yíng)能力、創(chuàng)新能力、盈利能力是證券公司最為核心的影響因素，在觀察內(nèi)因變量中，經(jīng)營(yíng)能力所有下設(shè)指標(biāo)、創(chuàng)新業(yè)務(wù)數(shù)量、證券監(jiān)管評(píng)級(jí)的影響性更大。另外，部分因素是比較容易忽視的，部均交易額、非經(jīng)紀(jì)業(yè)務(wù)收入占比的情況應(yīng)當(dāng)引起重視；第六章，針對(duì)前一章的實(shí)證結(jié)果，分析中國(guó)證券在短時(shí)間從何種方面提高競(jìng)爭(zhēng)力水平，，政策建議主要涉及經(jīng)營(yíng)能力改善、盈利能力提高、高級(jí)別證券監(jiān)管評(píng)級(jí)謀取、業(yè)務(wù)質(zhì)量改善以及經(jīng)紀(jì)業(yè)務(wù)比重下降等方面。 本文的研究樣本選取了2012年證券行業(yè)114家所有證券公司，涉及近萬(wàn)個(gè)數(shù)據(jù)，運(yùn)用結(jié)構(gòu)方程模型刻畫(huà)、描述證券公司競(jìng)爭(zhēng)力影響因素，為證券公司在短時(shí)間內(nèi)競(jìng)爭(zhēng)力提升提供思路的同時(shí)，結(jié)構(gòu)方程模型的運(yùn)用也為以后證券公司競(jìng)爭(zhēng)力研究提供了一種計(jì)量方法。
[Abstract]:In 2007, the outbreak of the American financial crisis brought a great impact to the stability of the financial systems around the world. Because the Chinese securities companies are in the initial stage of development, the response to the crisis is relatively weak, but after the crisis, there is a strong competitiveness for a short period of time. Then in 2011-2012, the industry suffered a general decline, with securities firms with a regressive growth rate accounting for more than 60% of the industry. In the first chapter, we analyze the research background, research significance, research methods and research framework. The second chapter reviews, deduces and summarizes the past research literature. Analyzing the value and deficiency of its research, the literature research is mainly carried out from the theoretical basis of the research on the competitiveness of securities companies-the competitiveness of enterprises, the securities industry association of China, the affiliated institutions of securities companies, academic papers and works. On the basis of adhering to a series of principles such as comprehensiveness, pertinence, science, maneuverability, and combining with the frequency of the use of the past index elements, the selection of indicators and the construction of index system are carried out. The competitiveness index system of Chinese securities companies includes 5 potential internal dependent variables and 19 observed internal dependent variables. In order to better present the operating status of securities companies in recent years, especially in 2012, Chapter 4th focuses on securities company finance and brokerage business. Chapter 5th, using structural equation model to analyze the influencing factors of the competitiveness of Chinese securities companies, the empirical results show the ability of management and innovation of securities companies. Profitability is the core influencing factor of securities companies. Among the internal factor variables, the number of innovative business, the number of innovative business and the rating of securities supervision are more influential. In addition, some factors are easy to ignore. Chapter 6th, based on the empirical results of the previous chapter, analyzes how Chinese securities improve their competitiveness in a short period of time. The policy suggestion mainly involves the management ability improvement, the profit ability enhancement, the high grade securities supervision grade obtains, the business quality improvement and the broking business proportion drop and so on. In 2012, the study sample selected 114 securities companies in the securities industry, involving nearly 10,000 data, using structural equation model to describe the factors affecting the competitiveness of securities companies. At the same time, the application of the structural equation model also provides a measurement method for the future research on the competitiveness of securities companies.
【學(xué)位授予單位】：濟(jì)南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類(lèi)號(hào)】：F271;F832.39

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