本文選題：證券公司 + 資產(chǎn)管理��； 參考：《首都經(jīng)濟(jì)貿(mào)易大學(xué)》2017年碩士論文

【摘要】：近年來,隨著經(jīng)濟(jì)的持續(xù)穩(wěn)定發(fā)展,居民收入和財富日益增長,面對銀行儲蓄利率低微,居民對投資理財服務(wù)的需求不斷增長。以商業(yè)銀行和公募基金為主導(dǎo)的理財產(chǎn)品市場已經(jīng)不能滿足投資者的需求,在內(nèi)需強(qiáng)勁的情況下,金融監(jiān)管機(jī)構(gòu)也逐步放開對資產(chǎn)管理機(jī)構(gòu)的準(zhǔn)入門檻,基金公司、信托公司、證券公司、銀行、期貨公司、保險資產(chǎn)管理公司和私募資產(chǎn)管理公司七類金融機(jī)構(gòu)開啟了資產(chǎn)管理市場競爭的新格局。在政策紅利的影響下,國內(nèi)資產(chǎn)管理業(yè)務(wù)自2012年開始取得了突飛猛進(jìn)的發(fā)展。資產(chǎn)管理業(yè)務(wù)作為金融市場中投融資的重要渠道,對實現(xiàn)資源的優(yōu)化配置和促進(jìn)產(chǎn)業(yè)集中發(fā)揮著至關(guān)重要的作用。證券公司作為“資本市場服務(wù)中介”,開展資產(chǎn)管理業(yè)務(wù)具有天然的優(yōu)勢,其發(fā)展?jié)摿h(yuǎn)大于其他資產(chǎn)管理機(jī)構(gòu)。證券公司資產(chǎn)管理業(yè)務(wù)以收取管理費的收入模式有別于傳統(tǒng)靠傭金收入為主的經(jīng)紀(jì)業(yè)務(wù),也逐漸成為其收入的重要來源。證券公司資產(chǎn)管理業(yè)務(wù)在飛速發(fā)展的同時,也面臨一些突出的問題,如資管業(yè)務(wù)規(guī)模增長的結(jié)構(gòu)性失衡、集合資管產(chǎn)品設(shè)計同質(zhì)化、投資決策能力不足和監(jiān)管環(huán)境不成熟等等。證券公司如何能在充分競爭的大資管環(huán)境下,不斷滿足市場的投資管理需求的同時,有序開展資產(chǎn)管理業(yè)務(wù)避免資產(chǎn)管理業(yè)務(wù)增長的結(jié)構(gòu)性失衡等問題,結(jié)合證券公司的業(yè)務(wù)優(yōu)勢制定適合證券公司資管業(yè)務(wù)的未來發(fā)展規(guī)劃是證券公司亟待解決的難關(guān)�；诖�,本文首先介紹了證券公司發(fā)展的歷程,發(fā)展的動力并分析了其現(xiàn)狀。結(jié)合一家中小券商分析了集合資產(chǎn)管理業(yè)務(wù)和定向資產(chǎn)管理業(yè)務(wù)運(yùn)作的流程和存在的問題等。然后從行業(yè)的角度針對證券公司資產(chǎn)管理業(yè)務(wù)開展過程中的共性問題進(jìn)行了分析,最后提出了對策建議,為證券公司資管業(yè)務(wù)的健康發(fā)展提供一定的參考。
[Abstract]:In recent years, with the sustained and stable development of economy, residents' income and wealth are increasing day by day. In the face of the low interest rate of bank savings, the residents' demand for investment and financial services is increasing. The market for wealth management products, dominated by commercial banks and public offering funds, can no longer meet the needs of investors. When domestic demand is strong, financial regulators have gradually opened up the entry threshold for asset management agencies, fund companies, trust companies, Securities firms, banks, futures companies, insurance asset management companies and private equity management firms seven types of financial institutions have opened up a new pattern of competition in the asset management market. Under the influence of policy dividend, domestic asset management business has made rapid development since 2012. As an important channel of investment and financing in the financial market, asset management plays an important role in the optimal allocation of resources and the promotion of industrial concentration. As a "capital market service intermediary", securities companies have natural advantages in asset management, and their development potential is much greater than that of other asset management agencies. The asset management business of securities companies is different from the traditional brokerage business which relies on commission income to collect management fees, and has gradually become an important source of its income. With the rapid development of asset management business, securities companies also face some outstanding problems, such as structural imbalance in the growth of capital management business scale, homogenization of aggregate asset management product design, insufficient investment decision-making ability and immature regulatory environment, and so on. How can the securities companies meet the investment management needs of the market in a fully competitive and large capital management environment, and at the same time carry out the asset management business in an orderly manner to avoid the structural imbalance in the growth of the asset management business? Combining the business advantages of securities companies, it is urgent for securities companies to formulate the future development plan suitable for securities companies' capital management business. Based on this, this paper first introduces the development of securities companies, the development of the power and analysis of its current situation. Combined with a small brokerage, this paper analyzes the operation process and problems of collective asset management business and directed asset management business. Then it analyzes the common problems in the process of carrying out the asset management business of securities companies from the angle of industry, and finally puts forward some countermeasures and suggestions, which provides a certain reference for the healthy development of the capital management business of securities companies.
【學(xué)位授予單位】：首都經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：F832.39

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