【摘要】：步入“泛資管”時(shí)代后,各類金融機(jī)構(gòu)包括銀行、券商、信托、基金和保險(xiǎn)等都積極開(kāi)展資管業(yè)務(wù),市場(chǎng)競(jìng)爭(zhēng)環(huán)境異常激烈。證券公司資產(chǎn)管理業(yè)務(wù)雖然已經(jīng)取得了一些成就,但由于起步較晚,與資管行業(yè)其他類型的金融機(jī)構(gòu)相比,仍存在不小差距。只有通過(guò)積極的業(yè)務(wù)創(chuàng)新才能挽回劣勢(shì),搶占更多的市場(chǎng)份額。因此,研究券商資產(chǎn)管理業(yè)務(wù)創(chuàng)新的對(duì)策有著十分重要的現(xiàn)實(shí)意義。本文首先闡述資產(chǎn)管理業(yè)務(wù)相關(guān)的基礎(chǔ)理論,分析券商資管業(yè)務(wù)的發(fā)展歷程和現(xiàn)狀,其次根據(jù)現(xiàn)狀說(shuō)明其發(fā)展過(guò)程中存在的諸多問(wèn)題,并列舉當(dāng)前我國(guó)券商資產(chǎn)管理業(yè)務(wù)的創(chuàng)新契機(jī),指出泛資管背景下機(jī)遇與挑戰(zhàn)并存。再次對(duì)券商資產(chǎn)管理業(yè)務(wù)發(fā)展的影響因素進(jìn)行實(shí)證分析,找出影響券商資產(chǎn)管理業(yè)務(wù)發(fā)展的主要因素,并分析這些因素是如何推動(dòng)或限制了券商資管業(yè)務(wù)的發(fā)展,最后提出我國(guó)券商資產(chǎn)管理業(yè)務(wù)創(chuàng)新的具體對(duì)策,從而達(dá)到為國(guó)內(nèi)券商在資產(chǎn)管理業(yè)務(wù)創(chuàng)新方面提供借鑒的目的。通過(guò)實(shí)證分析得出公司規(guī)模、業(yè)務(wù)增長(zhǎng)能力、業(yè)務(wù)重視程度等多種因素均會(huì)影響證券公司資產(chǎn)管理業(yè)務(wù)的發(fā)展情況,大中小型券商在各類因素上的表現(xiàn)存在差異,故而證券公司要針對(duì)自身情況,制定差異化的發(fā)展戰(zhàn)略;在業(yè)務(wù)發(fā)展方向上積極探索多業(yè)務(wù)、多部門(mén)的協(xié)同合作,加大對(duì)資產(chǎn)證券化這類創(chuàng)新型業(yè)務(wù)的投入;在產(chǎn)品方面,提供多幣種、多類別的個(gè)性化產(chǎn)品;在人才管理方面,積極引進(jìn)創(chuàng)新型人才,通過(guò)券商子公司創(chuàng)新人才激勵(lì)方式。
[Abstract]:After entering the era of "universal capital management", all kinds of financial institutions, including banks, securities firms, trusts, funds and insurance, are actively engaged in capital management business, and the market competition environment is extremely fierce. Although the asset management business of securities companies has made some achievements, but due to the late start, compared with other types of financial institutions in the capital management industry, there is still a large gap. Only through positive business innovation can we recover the disadvantages and seize more market share. Therefore, it is of great practical significance to study the innovation countermeasures of asset management business of securities firms. This paper first describes the basic theories related to asset management business, analyzes the development process and current situation of securities firms' asset management business, and then explains the problems existing in the development process of securities firms' asset management business. At the same time, the paper enumerates the opportunity of innovation in asset management of securities companies in our country, and points out that opportunities and challenges coexist under the background of universal capital management. Thirdly, the paper makes an empirical analysis on the factors influencing the development of asset management business of securities firms, finds out the main factors that affect the development of asset management business of securities companies, and analyzes how these factors promote or restrict the development of asset management business of securities firms. Finally, the paper puts forward the specific countermeasures for the innovation of asset management business of securities companies in China, so as to provide reference for domestic securities companies in the innovation of asset management business. Through empirical analysis, it is concluded that many factors, such as company size, business growth ability, business value, etc. will affect the development of asset management business of securities companies, and there are differences in the performance of large, medium and small securities firms in various factors. Therefore, securities companies should formulate differentiated development strategies according to their own conditions; actively explore multi-business and multi-sector cooperation in the direction of business development; increase investment in innovative businesses such as asset securitization; and, in terms of products, Provide multi-currency, multi-type personalized products; in the talent management, actively introduce innovative talents, through securities subsidiaries to innovate talent incentives.
【學(xué)位授予單位】：首都經(jīng)濟(jì)貿(mào)易大學(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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