本文關(guān)鍵詞：基于Apache Spark的新三板大數(shù)據(jù)監(jiān)管平臺構(gòu)建研究　出處：《中國財(cái)政科學(xué)研究院》2017年碩士論文　論文類型：學(xué)位論文

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【摘要】：新三板是我國多層次資本市場的重要組成部分。隨著新三板市場擴(kuò)容至全國,自2014年至今,新三板市場迅速擴(kuò)張,掛牌企業(yè)總數(shù)已超過滬深兩市上市公司總和。新三板是與我國上海證券交易所、深圳證券交易所并列的三大全國性證券交易場所之一,新三板市場和主板市場同屬于證監(jiān)會管轄,但又具有與主板市場相區(qū)別的市場定位;新三板與主板市場同屬于我國證券市場監(jiān)管體系之下,但又有相異于主板市場的監(jiān)管制度安排;當(dāng)前新三板掛牌企業(yè)中,90%以上為創(chuàng)新、創(chuàng)業(yè)、成長型中小微企業(yè),與主板市場的上市公司在公司規(guī)模、發(fā)展階段和業(yè)務(wù)屬性方面,也具有重大差異。在當(dāng)前全國股轉(zhuǎn)公司對新三板的日常監(jiān)管過程中,存在監(jiān)管業(yè)務(wù)量大、重復(fù)工作多、人力嚴(yán)重不足等突出問題,全國股轉(zhuǎn)公司人力擴(kuò)充的速度遠(yuǎn)遠(yuǎn)趕不上掛牌公司數(shù)目的增長速度,"人工盯”的監(jiān)管模式,無法滿足對海量掛牌公司的監(jiān)管需求。當(dāng)前,全國股轉(zhuǎn)公司已上線若干獨(dú)立開發(fā)的業(yè)務(wù)系統(tǒng),信息化建設(shè)的進(jìn)度隨著監(jiān)管業(yè)務(wù)規(guī)則的不斷完善穩(wěn)步推進(jìn)。2016年以來,全國股轉(zhuǎn)公司明確要以大數(shù)據(jù)監(jiān)管為切入點(diǎn),力爭對市場上高發(fā)、易發(fā)的一些違規(guī)行為進(jìn)行及時發(fā)現(xiàn)、應(yīng)對和處理。本文在深入研究新三板監(jiān)管體系、監(jiān)管制度安排與監(jiān)管業(yè)務(wù)要點(diǎn)的基礎(chǔ)上,嘗試以專家系統(tǒng)、軟件工程學(xué)、本體論等學(xué)科理論為指導(dǎo),以新三板大數(shù)據(jù)監(jiān)管平臺為研究對象,構(gòu)建基于Apache Spark的多層架構(gòu)的新三板大數(shù)據(jù)監(jiān)管平臺。文章首先對新三板大數(shù)據(jù)平臺構(gòu)建的相關(guān)概念進(jìn)行界定,對新三板監(jiān)管制度、專家系統(tǒng)、本體論等理論進(jìn)行闡述,對Apache Spark體系、CLIPS工具進(jìn)行簡要介紹。之后,結(jié)合作者的實(shí)際工作經(jīng)驗(yàn),對新三板大數(shù)據(jù)監(jiān)管平臺構(gòu)建的必要性和可行性進(jìn)行了分析。隨后,文章重點(diǎn)圍繞新三板大數(shù)據(jù)監(jiān)管平臺的構(gòu)建展開,首先提出了新三板大數(shù)據(jù)監(jiān)管平臺構(gòu)建的整體思路,對三大類重點(diǎn)監(jiān)管業(yè)務(wù)的監(jiān)管要點(diǎn)進(jìn)行分析,之后,對新三板大數(shù)據(jù)監(jiān)管平臺進(jìn)行了分層設(shè)計(jì),并對平臺的應(yīng)用實(shí)施進(jìn)行研究分析,最后,對新三板大數(shù)據(jù)監(jiān)管平臺的發(fā)展提出了展望。
[Abstract]:The new third board is an important part of the multi-level capital market in China. With the expansion of the new third board market to the whole country, since 2014, the new third board market has expanded rapidly. The total number of listed companies has exceeded the total number of listed companies listed in Shanghai and Shenzhen stock exchanges. The new third board is one of the three major national securities exchanges in parallel with the Shanghai Stock Exchange and Shenzhen Stock Exchange of China. The new third board market and the main board market both belong to the jurisdiction of the CSRC, but also have the market positioning which is different from the main board market; The new third board and the main board market belong to the supervision system of China's securities market, but there are different regulatory system arrangements from the main board market. At present, more than 90% of the new three-board listed enterprises are small and medium-sized enterprises with innovation, entrepreneurship, growth, and listed companies in the main board market in terms of company size, stage of development and business attributes. There are also significant differences. In the current national stock to company to the new three board of the daily supervision process, there are a large amount of regulatory business, duplication of work, serious shortage of manpower and other outstanding problems. The speed of manpower expansion of national stock companies is far from keeping up with the growth rate of the number of listed companies, "manual staring" regulatory model, can not meet the regulatory needs of a large number of listed companies. The national stock company has launched a number of independently developed business systems, the progress of information construction along with the continuous improvement of regulatory business rules. Since 2016. The National Stock Exchange Company clearly wants to take big data supervision as the breakthrough point and strive to timely discover, deal with and deal with some irregularities in the market. This paper is deeply studying the new three boards supervision system. On the basis of the arrangement of regulatory system and the main points of supervision business, this paper tries to take the expert system, software engineering, ontology and other disciplines as the guidance, and take the new three boards big data supervision platform as the research object. This paper constructs a new three-board big data supervision platform based on Apache Spark. Firstly, this paper defines the related concepts of the new three-board big data platform, and then defines the new three-board regulatory system. The expert system, ontology and other theories are expounded, and the Apache Spark system and clips tools are briefly introduced. After that, combined with the author's practical work experience. The necessity and feasibility of the construction of the new three boards big data regulatory platform are analyzed. Then, the article focuses on the construction of the new three boards big data regulatory platform. First of all, the paper puts forward the overall idea of the construction of the new three boards big data supervision platform, analyzes the main points of supervision of three major types of supervision business, and then designs the new three boards big data regulatory platform at different levels. Finally, the development of the new three-board big data supervisory platform is prospected.
【學(xué)位授予單位】：中國財(cái)政科學(xué)研究院
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：F832.51

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1 賈志立;基于Apache Spark的公共自行車使用狀況分析[D];太原理工大學(xué);2017年

2 張銘媛;基于Apache Spark的新三板大數(shù)據(jù)監(jiān)管平臺構(gòu)建研究[D];中國財(cái)政科學(xué)研究院;2017年

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本文編號：1399872