本文選題：銀證合作　切入點(diǎn)：影子銀行　出處：《廣西大學(xué)》2014年碩士論文

【摘要】：自2012年5月證券公司首屆創(chuàng)新大會(huì)召開以來,在證監(jiān)會(huì)指引和各證券公司自發(fā)組織下,我國(guó)證券行業(yè)迎來了創(chuàng)新發(fā)展的春天,邁上了全面創(chuàng)新轉(zhuǎn)型發(fā)展之路。證券公司的創(chuàng)收由傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)收入結(jié)構(gòu)轉(zhuǎn)型為以其他業(yè)務(wù)為主的收入結(jié)構(gòu)。 2012年至今最為突出的就是證券公司資產(chǎn)管理業(yè)務(wù)。證券公司資產(chǎn)管理業(yè)務(wù)“一法兩則”(《證券公司客戶資產(chǎn)管理業(yè)務(wù)管理辦法》、《證券公司集合資產(chǎn)管理業(yè)務(wù)實(shí)施細(xì)則》、《證券公司定向資產(chǎn)管理業(yè)務(wù)實(shí)施細(xì)則》)的修訂出臺(tái),為資產(chǎn)管理業(yè)務(wù)創(chuàng)新提供了制度保障,有利于證券行業(yè)目前在金融同業(yè)競(jìng)爭(zhēng)中的弱勢(shì)地位,提升證券公司在泛資產(chǎn)管理時(shí)代的競(jìng)爭(zhēng)力。 本論文以DB證券公司為研究對(duì)象,在證監(jiān)會(huì)制定的“一法兩則”基礎(chǔ)上,研究銀證合作業(yè)務(wù)的構(gòu)成及存在的問題,目前資產(chǎn)管理業(yè)務(wù)的創(chuàng)新存在的主要風(fēng)險(xiǎn),集中體現(xiàn)在盡職調(diào)查風(fēng)險(xiǎn)、操作風(fēng)險(xiǎn)和流動(dòng)性風(fēng)險(xiǎn)等方面。研究目的在于系統(tǒng)梳理、評(píng)述銀證合作業(yè)務(wù)的構(gòu)成與功能,探討在證券監(jiān)管體系下,與商業(yè)銀行開展合作的理論基礎(chǔ)、制度安排與操作框架,結(jié)合券商與商業(yè)銀行合作的發(fā)展、現(xiàn)狀與特點(diǎn),分析券商與商業(yè)銀行加強(qiáng)創(chuàng)新合作模式,同時(shí)加強(qiáng)監(jiān)管,有效規(guī)劃監(jiān)管社會(huì)融資方式和規(guī)模。 本文主要研究DB證券公司與商業(yè)銀行開展的銀證合作資產(chǎn)管理業(yè)務(wù),通過國(guó)內(nèi)外相文獻(xiàn)研究成果的研究及啟示,對(duì)DB證券公司資產(chǎn)管理業(yè)務(wù)與商業(yè)銀行合作的現(xiàn)狀進(jìn)行分析,探討DB證券公司資產(chǎn)管理業(yè)務(wù)與商業(yè)銀行合作的必要性和可行性,并對(duì)DB證券資產(chǎn)管理業(yè)務(wù)銀證合作存的問題進(jìn)行分析。同時(shí)分析銀證合作的發(fā)展環(huán)境和發(fā)展趨勢(shì),結(jié)合商業(yè)銀行和證券公司自身發(fā)展的需要,對(duì)DB證券公司資產(chǎn)管理業(yè)務(wù)銀證合作模式進(jìn)行創(chuàng)新,并對(duì)DB證券公司資產(chǎn)管理業(yè)務(wù)銀證合作風(fēng)險(xiǎn)防控提出相關(guān)解決方案。本文擬采用的研究方法主要有以下幾種：歷史分析、文獻(xiàn)綜述法、規(guī)范研究和實(shí)證研究法相結(jié)合、比較研究法等。
[Abstract]:Since the first innovation meeting of securities companies was held in May 2012, under the guidance of the Securities Regulatory Commission and the spontaneous organization of the securities companies, the securities industry in our country has ushered in the spring of innovation and development. The income of securities companies has been transformed from traditional brokerage income structure to other business income structure. So far in 2012, the most outstanding business is the asset management business of securities companies. "one Law and two rules" in Asset Management Business of Securities companies ("measures for Management of Securities Company customer Asset Management"), < "detailed implementation of collective asset management business of securities companies" Then, the "detailed rules for the implementation of targeted Asset Management by Securities companies") was revised and promulgated. It provides a system guarantee for the innovation of asset management business, is conducive to the weak position of the securities industry in the financial interbank competition, and promotes the competitiveness of securities companies in the era of pan-asset management. This paper takes DB Securities Company as the research object, on the basis of "one Law and two rules" formulated by the Securities Regulatory Commission, studies the composition and existing problems of the banking and securities cooperation business, and the main risks of the innovation of the asset management business at present. The purpose of the research is to systematically comb, comment on the composition and function of the cooperative business of bank and securities, and discuss the system of securities supervision. The theoretical basis, system arrangement and operational framework of cooperation with commercial banks, combined with the development, current situation and characteristics of the cooperation between securities firms and commercial banks, are analyzed. Effective planning and supervision of social financing methods and scale. This paper mainly studies the bank and securities cooperative asset management business carried out by DB securities company and commercial bank, and analyzes the present situation of the cooperation between DB securities company and commercial bank through the research and inspiration of domestic and foreign literature. This paper probes into the necessity and feasibility of the cooperation between DB Securities Company's asset management business and commercial banks, and analyzes the problems of bank and securities cooperative deposit in DB securities asset management business. At the same time, it analyzes the development environment and development trend of bank and securities cooperation. Combining with the needs of the development of commercial banks and securities companies, the paper innovates the cooperation mode of bank and securities in the asset management business of DB Securities Company. And put forward the relevant solutions to the risk prevention and control of bank and securities cooperation in asset management business of DB Securities Company. The research methods to be adopted in this paper are as follows: historical analysis, literature review, normative research and empirical research. Comparative research methods.
【學(xué)位授予單位】：廣西大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.39

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