中国资本市场投资银行的发展、创新与风险监管研究

发布时间：2018-02-28 08:45

本文关键词： 投资银行发展业务创新风险监管政策　出处：《上海交通大学》2012年硕士论文　论文类型：学位论文

【摘要】：投资银行是现代金融业的重要组成部分，虽然叫做“银行”但并不经营银行的传统业务，而是帮助企业完成直接融资、并购重组、资产管理等业务的金融中介机构，以价值发现为其核心目标。在投资银行业务活动中，风险一直是一个突出的问题，本次美国次贷危机进而引发的全球性经济危机就与投行业务密切相关，因此，研究投资银行监管问题对我国投资银行的发展具有很重要的现实意义。我国的投资银行发展时间短，业务范围窄，在其发展的过程中亦产生了一些问题。本文尝试通过对我国投资银行快速发展过程的回顾和未来创新业务开展的展望，结合监管工作中已经发现或即将面临的主要风险进行深入分析，并结合我国投资银行业务发展、创新与风险监管存在的实质问题，提出对策。本文主要分为五个章节。第一章，，介绍全球资本市场投资银行业务；第二章，对投资银行业务发展进行分析；第三章，探讨投资银行业务的创新；第四章，分析投资银行业务创新所带来的风险；第五章，分析我国投资银行监管理论。
[Abstract]:Investment banking is an important part of the modern financial industry. Although it is called a "bank," it does not run the traditional business of a bank, but rather helps an enterprise to complete direct financing, mergers and acquisitions, asset management, and other business financial intermediaries. Value discovery is its core goal. Risk has always been a prominent problem in investment banking activities. The global economic crisis caused by the subprime mortgage crisis in the United States is closely related to investment banking business. The study of investment bank supervision is of great practical significance to the development of investment bank in China, which has a short development time and narrow business scope, and some problems have arisen in the process of its development. This paper attempts to review the rapid development process of China's investment banks and prospects for the future development of innovative business, combined with the regulatory work has been found or will be faced with the main risks in-depth analysis. Combined with the development, innovation and risk supervision of investment banking in China, this paper is divided into five chapters. The first chapter introduces the investment banking business in the global capital market; the second chapter, The third chapter discusses the innovation of investment banking business; chapter 4th analyzes the risks brought by investment banking business innovation; chapter 5th analyzes the theory of investment banking supervision in China.
【学位授予单位】：上海交通大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.3

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