發(fā)布時間：2018-04-23 17:19

  本文選題：融資融券 + 轉(zhuǎn)融通��； 參考：《廣西大學(xué)》2014年碩士論文

【摘要】：隨著我國證券市場這幾十年的不斷發(fā)展和變革的歷程,市場監(jiān)管逐漸趨于成熟,投資者也逐漸趨于理性。此時,開展融資融券業(yè)務(wù),不但可以達(dá)到監(jiān)管層對于完善多層次證券市場的訴求,同時可以滿足投資者對當(dāng)前證券市場的各種創(chuàng)新型的投資需求；對于證券公司來說,大力開展和推行這項業(yè)務(wù),有利于改變原有經(jīng)紀(jì)業(yè)務(wù)依靠收取證券交易傭金獲得收入的局面。通過融資融券業(yè)務(wù)產(chǎn)生的利息收入以及因此而放大的證券交易所帶來的交易傭金收入形成了證券新的盈利增長點之一。因此,對證券公司如何才能更好的開展融資融券業(yè)務(wù)就具有了非常必要的研究意義。 本文以G證券公司融資融券業(yè)務(wù)的發(fā)展問題為實例開展研究,通過論述G證券公司開展融資融券業(yè)務(wù)的積極意義,以及梳理G證券公司在發(fā)展融資融券業(yè)務(wù)的過程中在業(yè)務(wù)決策、授權(quán)體系以及業(yè)務(wù)運行等現(xiàn)行做法,并對其加以深入的分析后,對G證券公司在業(yè)務(wù)發(fā)展過程中自有資金投入不足、面臨激烈的市場競爭、融券業(yè)務(wù)發(fā)展不均衡、缺乏業(yè)務(wù)梳理及相關(guān)產(chǎn)品創(chuàng)新以及在業(yè)務(wù)管理與風(fēng)險控制還需要完善等一系列存在的問題進(jìn)行深入剖析。然后通過考察國外相對成熟和完善的融資融券體系以及結(jié)合國內(nèi)券商的相應(yīng)做法,在對如何拓寬資金來源、深入挖掘客戶資源、加強業(yè)務(wù)創(chuàng)新設(shè)計、營銷及服務(wù)、完善配套制度,加快轉(zhuǎn)融通步伐等方面提出了一系列對策建議,從實踐上為證券公司發(fā)展融資融券業(yè)務(wù)提供了一個方向。通過結(jié)合自身工作,立足于證券公司的實際情況做分析,理論結(jié)合實踐,提出切實有效的意見,是本文的亮點和創(chuàng)新之處,為解決真實存在的問題提供了較為可行的操作方案。
[Abstract]:With the continuous development and reform of the securities market in China, market regulation is gradually becoming mature and investors tend to be rational. At this time, developing margin trading can not only meet the demands of the regulatory layer to improve the multi-level securities market, but also meet the investors' various innovations in the current securities market. For securities companies, for securities companies, vigorously carrying out and implementing this business is conducive to changing the situation in which the original brokerage business relies on a commission on securities trading. Therefore, it is very necessary for securities companies to develop margin trading business.
This paper takes the development of G securities margin business as an example, and discusses the positive significance of the financing margin business of G securities companies, and combs the current practices of G securities companies in the process of business decision making, authorization system and business transportation in the process of developing margin trading. After that, G securities companies have insufficient investment in their business development, facing fierce market competition, unbalanced development of margin business, lack of business carding and related product innovation, and a series of existing problems that need to be improved in business management and risk control. In order to expand the source of funds, dig up the customer resources, strengthen the design of the business innovation, improve the marketing and service, improve the system and speed up the pace of the exchange, we put forward a series of suggestions on how to develop the margin business for the development of the securities company. It provides a direction. Through the analysis of the actual situation of the securities company, combining the theory with practice and putting forward practical and effective opinions, it is the highlight and innovation of this article. It provides a more feasible operation scheme to solve the real problems.

【學(xué)位授予單位】：廣西大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F832.39;F830.42

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