【摘要】：1987年9月,中國第一家“試驗田”特區(qū)證券公司—巨田證券成立。證券公司的成立、發(fā)展、成長與金融市場穩(wěn)定性密切相關,雖然其已經(jīng)取得巨大成就,但“靠天吃飯”的收入結構格局沒有根本改變。2008年,次貸危機,2015年,股市暴漲暴跌,極端的市場行情給依靠傳統(tǒng)業(yè)務經(jīng)營的證券公司帶來災難,讓證券公司面臨虧損。因此,本文以提出問題—分析原因—解決問題的思路,對證券公司收入結構存在的問題給予建議,以提升證券公司的綜合競爭力。本文采用數(shù)據(jù)統(tǒng)計、圖表分析、案例分析相結合的方法。收集24家上市證券公司2013.12.31—2016.6.30期間的收入占比數(shù)據(jù)進行專項研究。第一,定義并且分類證券公司收入結構,主要對證券公司收入結構發(fā)展特性和規(guī)律進行總結。第二,對上市證券公司整體收入結構問題分析和原因探析。第三,比較分析不同類別證券公司收入結構與盈利能力的差異、共性,并在每類別公司中選取兩家公司作為內(nèi)部比較,分析差異、共性。本文得出結論:(1)證券公司有獨特的收入結構發(fā)展規(guī)律(2)上市證券公司存在依賴傳統(tǒng)業(yè)務,經(jīng)營風險加劇;創(chuàng)新業(yè)務不斷發(fā)展,但受到阻礙;業(yè)務不合規(guī),缺乏風險防御機制;成本增加,成本管理能力需加強;同質化現(xiàn)象嚴重,缺差異化經(jīng)營的現(xiàn)狀和問題(3)創(chuàng)新類、全國類證券公司收入結構異于規(guī)范類、區(qū)域類證券公司收入結構,前者盈利能力優(yōu)于后者。并據(jù)此提出意見和建議。
[Abstract]:In September 1987, China's first "experimental field" Special Zone Securities Company-Jutian Securities was established. The establishment, development and growth of securities companies are closely related to the stability of financial markets. Although they have made great achievements, the income structure of "living by heaven" has not fundamentally changed. In 2008, the subprime mortgage crisis, and 2015, the stock market soared and plummeted. Extreme market conditions have brought disaster to securities firms that rely on traditional business operations, leaving them facing losses. Therefore, in order to improve the comprehensive competitiveness of securities companies, this paper puts forward the ideas of problem-analysis and problem-solving, and gives some suggestions on the problems existing in the income structure of securities companies. This article uses the data statistics, the chart analysis, the case analysis unifies the method. Collect 24 listed securities companies' income share data for the period from December 31 to June 30, 2013 for a special study. First, it defines and classifies the income structure of securities companies, mainly summarizes the characteristics and rules of the development of income structure of securities companies. Second, the overall income structure of listed securities companies and the analysis of the reasons. Thirdly, we compare and analyze the differences and commonalities between the income structure and profitability of different types of securities companies, and select two companies in each category as internal comparison, analyze the differences and commonalities. The conclusion of this paper is as follows: (1) securities companies have unique rules of income structure development; (2) listed securities companies rely on traditional business and increase the risk of operation; With the increase of cost, the ability of cost management needs to be strengthened, the phenomenon of homogeneity is serious, and the present situation and problems of differential management are lacking. (3) the income structure of national securities companies is different from that of standard ones, and the income structure of regional securities companies is different from that of regional securities companies. The former is superior to the latter. And put forward the opinion and suggestion accordingly.
【學位授予單位】：安徽工業(yè)大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：F832.39

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