我国证券公司自建柜台市场研究

发布时间：2018-07-01 14:10

本文选题：多层次资本市场 + 证券公司自建柜台市场　；参考：《广东财经大学》2013年硕士论文

【摘要】：2012年行业创新大会的举行揭开了证券公司自建柜台市场建设的序幕。作为中国多层次资本市场体系重要组成部分，其底层市场定位从一开始就被赋予私募市场属性，并成为中国中小微企业孵化器。对于践行中国私募制度改革、加快场外个性化衍生产品的创设、完善券商基本功能方面贡献良多。同时底层市场的建设也将大大加快中国金融业尤其是证券行业的转型升级，完善中小企业融资渠道。无论对于国家还是企业自身而言，，意义重大的。美国多层次资本市场研究无论在理论研究和市场建设方面都十分成熟，本文梳理美国证券公司柜台市场方面相关理论和市场研究也是基于此，给正在进行改革发展的中国券商柜台市场一点借鉴和学习。本文首先介绍了证券公司自建柜台市场概览，并通过与现有各市场对比分析，着重强调了证券公司自身的定位和特征，让更多人了解和认识这一市场，随后介绍了美国证券公司自建柜台市场发展经验及启示。因为证券公司自建柜台市场刚起步，通过波特五力和SWOT分析，对这一新兴市场面临的环境进行了综合分析并基于战略考虑给出了一定建议。最后就市场的具体建设进行了畅想。在行业创新发展的大背景下，中国证券公司柜台市场必将越走越远。
[Abstract]:The 2012 Industry Innovation Conference opened the prelude to the construction of self-built counter market for securities companies. As an important part of China's multi-level capital market system, its bottom market positioning has been endowed with the attribute of private market from the beginning, and has become the incubator of small and medium-sized enterprises in China. To practice the reform of China's private equity system, accelerate the creation of OTC personalized derivative products, and improve the basic functions of securities companies. At the same time, the construction of the bottom market will speed up the transformation and upgrading of China's financial industry, especially the securities industry, and improve the financing channels of small and medium-sized enterprises. Whether for the country or the enterprise itself, the significance is significant. The multi-level capital market research in the United States is very mature in both theoretical research and market construction. This paper combs the relevant theories and market research on the over-the-counter market of American securities companies based on this. For the reform and development of the counter market of Chinese securities companies a little reference and learning. This paper first introduces the overview of the securities company's self-built counter market, and through the comparative analysis with the existing market, emphasizes the positioning and characteristics of the securities company itself, so that more people can understand and understand the market. Then introduced the American securities company self-built counter market development experience and inspiration. Because the securities company has just started to set up the counter market, through the analysis of Porter and SWOT, this paper makes a comprehensive analysis of the environment facing this emerging market and gives some suggestions based on the strategic considerations. Finally, the concrete construction of the market has carried on the imagination. Under the background of industry innovation and development, the counter market of Chinese securities companies will go further and further.
【学位授予单位】：广东财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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