本文關(guān)鍵詞： 中小券商 互聯(lián)網(wǎng) 轉(zhuǎn)型升級(jí)　出處：《浙江大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：在經(jīng)濟(jì)新常態(tài)下,中央經(jīng)濟(jì)工作會(huì)議多次提出傳統(tǒng)行業(yè)要主動(dòng)適應(yīng)新常態(tài),企業(yè)要努力實(shí)現(xiàn)轉(zhuǎn)型升級(jí)。創(chuàng)新是發(fā)展的動(dòng)力之源,傳統(tǒng)行業(yè)轉(zhuǎn)型升級(jí)需要企業(yè)不斷創(chuàng)新。傳統(tǒng)的證券公司,特別是中小券商,在新常態(tài)下由于內(nèi)外部因素的變化,面臨著生存和發(fā)展的危機(jī),迫切需要適應(yīng)新常態(tài),實(shí)現(xiàn)轉(zhuǎn)型升級(jí)。中小券商是我國證券行業(yè)重要組成部分,中小券商轉(zhuǎn)型升級(jí)有利于我國證券業(yè)乃至金融市場(chǎng)的健康發(fā)展。隨著計(jì)算機(jī)信息技術(shù)的迅速發(fā)展以及我國互聯(lián)網(wǎng)普及率的提高,越來越多的傳統(tǒng)行業(yè)受到了互聯(lián)網(wǎng)的"洗禮",具備低成本、高效率、交互性和便捷性等特征的互聯(lián)網(wǎng)有助于傳統(tǒng)證券行業(yè)的轉(zhuǎn)型升級(jí)。相對(duì)于大型券商,中小券商主要的服務(wù)對(duì)象是長尾端的中小投資者,而互聯(lián)網(wǎng)技術(shù)能夠解決長尾端中小投資者的投融資問題,中小券商被認(rèn)為是互聯(lián)網(wǎng)金融的天然擁抱者。對(duì)于傳統(tǒng)中小券商來說,與互聯(lián)網(wǎng)進(jìn)行融合促進(jìn)轉(zhuǎn)型升級(jí),是一次實(shí)現(xiàn)"彎道超車"的重要機(jī)遇。本文主要采用的研究方法是文獻(xiàn)研究法、案例分析法和系統(tǒng)分析法。論文通過對(duì)美國和日本券商互聯(lián)網(wǎng)化發(fā)展的歷程及典型案例分析和研究,來指導(dǎo)我國中小券商在互聯(lián)網(wǎng)背景下的轉(zhuǎn)型發(fā)展。論文首先對(duì)中小券商進(jìn)行界定,并從多個(gè)角度分析中小券商的發(fā)展?fàn)顩r與困境;其次,對(duì)互聯(lián)網(wǎng)相關(guān)背景進(jìn)行介紹,并分析互聯(lián)網(wǎng)對(duì)我國證券行業(yè)發(fā)展的影響,通過SWOT分析中小券商互聯(lián)網(wǎng)化發(fā)展的競(jìng)爭(zhēng)環(huán)境得出中小券商應(yīng)該根據(jù)自身優(yōu)勢(shì)抓住機(jī)遇積極發(fā)展互聯(lián)網(wǎng)證券業(yè)務(wù)的結(jié)論;再次,論文重點(diǎn)研究美國和日本券商互聯(lián)網(wǎng)化發(fā)展的歷程及典型案例,得出國外券商互聯(lián)網(wǎng)化發(fā)展的共性及啟示;最后,論文基于目前中小券商的發(fā)展?fàn)顩r分析以及參考國外券商互聯(lián)網(wǎng)化發(fā)展的經(jīng)驗(yàn),提出了我國中小券商互聯(lián)網(wǎng)化發(fā)展路徑及風(fēng)險(xiǎn)防范措施,同時(shí)對(duì)互聯(lián)網(wǎng)背景下我國中小券商的發(fā)展進(jìn)行總結(jié)并提出了政策建議。
[Abstract]:In the new normal economy, the Central Economic work Conference has repeatedly proposed that traditional industries should actively adapt to the new normal, enterprises should strive to achieve transformation and upgrading. Innovation is the source of development. Traditional securities companies, especially small and medium-sized securities firms, are facing the crisis of survival and development due to the changes of internal and external factors in the new normal. There is an urgent need to adapt to the new normal and realize the transformation and upgrading. Small and medium-sized securities firms are an important part of the securities industry in China. The transformation and upgrading of small and medium-sized securities firms is conducive to the healthy development of China's securities industry and even the financial market. With the rapid development of computer information technology and the increase of China's Internet penetration rate. More and more traditional industries have been "baptized" by the Internet. The Internet, which has the characteristics of low cost, high efficiency, interactivity and convenience, is helpful to the transformation and upgrading of the traditional securities industry. The main service object of the small and medium securities firms is the small and medium investors at the end of the long end, while the Internet technology can solve the problem of investment and financing of the small and medium-sized investors at the end of the long end. Small and medium-sized securities companies are considered to be the natural hugs of Internet finance. For traditional small and medium-sized securities firms, integration with the Internet to promote the transformation and upgrading. It is an important opportunity to realize "bend overtaking". The main research method used in this paper is the literature research method. Case analysis and system analysis. The thesis analyzes and studies the typical cases of the development of American and Japanese securities firms through the development of Internet. To guide the transformation and development of the small and medium-sized securities companies in China under the background of the Internet. Firstly, the paper defines the small and medium-sized securities firms, and analyzes the development situation and difficulties of the small and medium-sized securities companies from many angles. Secondly, the related background of the Internet is introduced, and the impact of the Internet on the development of China's securities industry is analyzed. Through the SWOT analysis of the competitive environment of the development of small and medium-sized securities firms on the Internet, it is concluded that small and medium-sized securities companies should seize the opportunity to actively develop the Internet securities business according to their own advantages. Thirdly, the thesis focuses on the process and typical cases of the development of the securities firms in the United States and Japan, and draws the generality and enlightenment of the development of the securities firms in foreign countries. Finally, based on the analysis of the current development situation of small and medium-sized securities firms and reference to the experience of the development of foreign securities firms, the paper puts forward the development path and risk prevention measures of the small and medium-sized securities firms in China. At the same time, the development of small and medium-sized securities firms in China under the background of the Internet is summarized and policy recommendations are put forward.
【學(xué)位授予單位】：浙江大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.39

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