本文選題：證券公司 + 金融衍生品��； 參考：《廈門大學》2014年碩士論文

【摘要】：從世界范圍來看,金融衍生品對提高資源配置效率,促進經(jīng)濟發(fā)展起到重要推動作用。在金融衍生品市場中,場外金融衍生品市場占據(jù)主要地位。作為資本市場中的場外金融衍生品市場,證券公司柜臺市場在美國等發(fā)達國家和地區(qū)已發(fā)展較為成熟。發(fā)展證券公司柜臺市場,有利于完善多層次資本市場結(jié)構(gòu),滿足市場投融資和風險管理需求,有利于證券公司提高綜合實力和核心競爭力。與此同時,作為我國多層次資本市場中的基礎(chǔ)市場之一的證券公司柜臺市場處于發(fā)展初級階段,法律法規(guī)體系尚不完備,產(chǎn)品種類單一,市場的覆蓋面、包容力和深度十分有限。如何結(jié)合我國實際,采取有效措施,推動發(fā)展符合市場化運行規(guī)律的證券公司柜臺市場,提高資本市場服務(wù)實體經(jīng)濟的能力,目前理論界和實務(wù)界尚無清晰明確的意見。 本文分為五章：第一章為緒論：第二章介紹境外證券公司柜臺市場,主要介紹美國市場的建設(shè)情況和發(fā)展經(jīng)驗；第三章介紹我國證券公司柜臺市場發(fā)展情況,分析存在問題；第四章分析證券公司柜臺市場發(fā)展面臨的基礎(chǔ)環(huán)境,結(jié)合存在的問題,提出發(fā)展我國證券公司柜臺市場的建議,即健全法律法規(guī)體系、采取行業(yè)自律管理為主的市場化監(jiān)管模式,以及建立完善“兩平臺,三層次”的柜臺市場架構(gòu)；第五章為結(jié)論。
[Abstract]:All over the world, financial derivatives play an important role in improving the efficiency of resource allocation and promoting economic development. In the financial derivatives market, the OTC financial derivatives market occupies a major position. As an over-the-counter financial derivatives market in the capital market, the over-the-counter market of securities companies has developed more mature in developed countries and regions such as the United States. The development of over-the-counter market of securities companies is conducive to perfecting the multi-level capital market structure, meeting the needs of market investment and financing and risk management, as well as improving the comprehensive strength and core competitiveness of securities companies. At the same time, as one of the basic markets in the multi-level capital market of our country, the over-the-counter market of securities companies is in the initial stage of development, the legal system is not complete, the product category is single, and the market coverage. Containment and depth are very limited. At present, there are no clear opinions on how to take effective measures to promote the development of the counter market of securities companies in accordance with the rules of market-oriented operation, and to improve the ability of the capital market to serve the real economy. This article is divided into five chapters: the first chapter is the introduction: the second chapter introduces the overseas securities company counter market, mainly introduces the construction situation and the development experience of the American market, the third chapter introduces the development of China's securities company counter market, analyzes the existing problems; The fourth chapter analyzes the basic environment facing the development of the securities company's counter market, combining with the existing problems, puts forward some suggestions for the development of our country's securities company's over-the-counter market, that is, to perfect the system of laws and regulations. Adopting the market-oriented supervision mode of industry self-discipline management, and establishing and perfecting the "two platforms, three levels" counter market structure. Chapter five is the conclusion.
【學位授予單位】：廈門大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：F832.39

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本文編號：1894425