本文選題：券商資管 + 銀證合作�。� 參考：《上海外國語大學(xué)》2017年碩士論文

【摘要】：得益于我國經(jīng)濟(jì)的騰飛和金融市場(chǎng)的不斷完善,我國證券公司的資產(chǎn)管理業(yè)務(wù)在近幾年獲得快速發(fā)展,構(gòu)成了與銀行理財(cái)、信托計(jì)劃、保險(xiǎn)理財(cái)、基金等并駕齊驅(qū)的競(jìng)爭(zhēng)格局。隨著改革的深化推進(jìn),經(jīng)濟(jì)轉(zhuǎn)型的逐步成功,資本市場(chǎng)將獲得一個(gè)更深厚的發(fā)展基礎(chǔ),未來券商資產(chǎn)管理業(yè)務(wù)將有更大的發(fā)展空間和作為。同時(shí),國務(wù)院、證監(jiān)會(huì)相繼出臺(tái)一系列有關(guān)資本市場(chǎng)深化改革、轉(zhuǎn)型升級(jí),加強(qiáng)風(fēng)險(xiǎn)防范的政策,為券商資產(chǎn)管理業(yè)務(wù)的進(jìn)一步發(fā)展創(chuàng)造出新的政策環(huán)境。在此大背景之下,早期不少券商抓住機(jī)遇開始布局升資產(chǎn)管理業(yè)務(wù),并在過去幾年中已在激烈的行業(yè)競(jìng)爭(zhēng)中取得了優(yōu)勢(shì)。但是作為資管市場(chǎng)的“后起之秀”,DT證券在目前的發(fā)展初期雖然有一個(gè)相對(duì)完善成熟的市場(chǎng)環(huán)境,但也遇到了更多的挑戰(zhàn)。本文主要從現(xiàn)有券商資管業(yè)務(wù)發(fā)展的理論出發(fā),以DT證券資產(chǎn)管理業(yè)務(wù)為研究對(duì)象,在考慮券商資產(chǎn)管理業(yè)務(wù)發(fā)展的大環(huán)境以及DT證券把商業(yè)銀行作為戰(zhàn)略客戶的基礎(chǔ)上,有針對(duì)性地研究DT證券公司與商業(yè)銀行在資產(chǎn)管理業(yè)務(wù)上的合作模式,結(jié)合近期出臺(tái)的眾多監(jiān)管政策,探究目前銀證合作過程中存在的問題,特別是DT證券發(fā)展起步階段面對(duì)的困境,針對(duì)性地出建議。本文首先通過國內(nèi)外相關(guān)文獻(xiàn)研究成果的研究及啟示,對(duì)我國券商資產(chǎn)管理業(yè)務(wù)整體發(fā)展情況進(jìn)行梳理,從券商、銀行兩個(gè)角度探討DT證券公司資產(chǎn)管理業(yè)務(wù)與銀行合作的必要性和可行性。從DT證券資產(chǎn)管理業(yè)務(wù)現(xiàn)有的發(fā)展情況出發(fā),剖析DT證券資產(chǎn)管理業(yè)務(wù)銀證合作現(xiàn)有典型模式,對(duì)合作流程、成效等進(jìn)行跟蹤研究。在研究?jī)蓚�(gè)案例過程中,出合作中存在的具體問題并談?wù)摻鉀Q和優(yōu)化方案,同時(shí)對(duì)比不同模式之間的差異,以針對(duì)性地推動(dòng)其未來發(fā)展。由于本文更多的是將DT資管未來發(fā)展作為重點(diǎn)考慮的,因此本文根據(jù)以上情況對(duì)DT資管作了外部以及內(nèi)部的戰(zhàn)略分析,外部環(huán)境包括宏觀環(huán)境、行業(yè)政策、市場(chǎng)競(jìng)爭(zhēng)結(jié)構(gòu)等,內(nèi)部環(huán)境包括機(jī)構(gòu)資質(zhì)、產(chǎn)品研發(fā)和投資能力、營銷能力等并借鑒國際經(jīng)驗(yàn)對(duì)利率市場(chǎng)化下我國資管行業(yè)做出展望,由此得出有益于券商資管未來更好地開展銀證合作的政策建議。
[Abstract]:Thanks to the rapid development of China's economy and the continuous improvement of financial market, the asset management business of Chinese securities companies has been developed rapidly in recent years, which has formed a competitive pattern of keeping pace with bank financing, trust plan, insurance financing, fund and so on. With the deepening of the reform and the gradual success of the economic transformation, the capital market will have a deeper foundation of development, and the future asset management business of securities firms will have greater space for development. At the same time, the State Council and the Securities Regulatory Commission have issued a series of policies on deepening the reform of the capital market, transforming and upgrading, strengthening risk prevention, and creating a new policy environment for the further development of the asset management business of securities firms. Against this background, many early securities firms seized the opportunity to start the layout of asset management business, and in the past few years in the fierce competition in the industry has gained an advantage. However, as the "rising star" of the capital management market, DT securities have a relatively mature market environment in the early stage of development, but they also meet more challenges. Based on the theory of the development of securities firms' asset management business, this paper takes DT securities asset management business as the research object, on the basis of considering the general environment of the development of securities firms' asset management business and DT securities taking commercial banks as strategic customers. This paper studies the cooperation mode between DT securities company and commercial bank in asset management business, and explores the problems existing in the process of cooperation between bank and securities in the light of the many regulatory policies recently issued. In particular, DT securities development in the initial stage of the difficulties faced, targeted recommendations. This paper first through the domestic and foreign related literature research results research and the enlightenment, carries on the comb to our country securities firm asset management service overall development situation, from the securities firm, This paper probes into the necessity and feasibility of the cooperation between the asset management business of DT Securities Company and the bank from two angles. Based on the current development of DT securities asset management business, this paper analyzes the typical model of bank and securities cooperation in DT securities asset management business, and studies the process and effectiveness of the cooperation. In the process of studying two cases, the concrete problems existing in cooperation are discussed, and the solutions and optimization schemes are discussed. At the same time, the differences between different models are compared to promote their future development. As the future development of DT capital management is the focus of this paper, this paper makes an external and internal strategic analysis of DT capital management according to the above situation. The external environment includes macro environment, industry policy, market competition structure and so on. The internal environment includes institutional qualification, product R & D and investment ability, marketing ability and so on, and draw lessons from the international experience to make the prospect of our national capital management industry under the interest rate marketization. From this, it is helpful for securities firms to better carry out cooperation in the future of banking and securities policy recommendations.
【學(xué)位授予單位】：上海外國語大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.51

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