中国证券行业的发展与监管探讨

发布时间：2018-01-13 07:28

本文关键词：中国证券行业的发展与监管探讨　出处：《西南财经大学》2012年硕士论文　论文类型：学位论文

【摘要】：随着上海证券交易所第一记开市锣声的敲响,中国证券资本市场的大门就此打开,那些具有证券投资需要的公众投资者于是蜂拥而入,从此全国证券行业从无到有、由小到大,迅速成长为我国金融业发展的一支重要推动力量。然而,随着证券行业逐步成长为一棵参天大树,这个行业的发展方式也进入了一个必须修正与转变的时期。本文正是以广泛深入的调查研究为基础,结合本人证券行业从业的经验和心得,合理运用服务营销和战略管理等理论,以前瞻性的眼光寻找证券行业的未来发展之路,并相应探讨对应的监管方式,促进中国证券行业乃至整个国民经济的的稳定与发展。第一章为引言部分,主要介绍了文章的选题背景与研究意义,并简要阐述了相关了理论基础和国内外学者所做的一些研究成果。第二章在分析了中国证券行业发展的阶段性特点和外部环境的基础上,分析了影响证券行业发展的主要瓶颈。第三章国际证券行业现状比较与借鉴,则是从国际视野的角度,分析了美、日、韩三个国家的证券行业发展轨迹,从中总结出几点值得中国证券行业发展借鉴的结论。第四章作为本论文的核心章节,分析了中国证券行业未来发展的几大趋势,并具体阐述了六条可供选择的可行举措以及每条举措的实施方法。第五章是第四章的一个延伸和拓展,主要是在总结中国现行证券行业监管制度特征与缺陷的基础上,探索给出了几条与未来中国证券业发展相适应的监管建议。第六章在前面五个章节的基础上,总结了本文的主要内容和所得到的主要结论,作为本文的结尾。
[Abstract]:With the sound of the first opening gong of the Shanghai Stock Exchange, the door of China's securities capital market has opened, and the public investors who have the need to invest in securities have flocked in. Since then, the national securities industry has grown rapidly from small to large and has become an important driving force for the development of China's financial industry. However, with the securities industry gradually growing into a towering tree, the development of this industry has entered a period that must be revised and changed. This article is based on extensive and in-depth investigation and research, combined with my experience and experience in the securities industry, reasonable use of service marketing and strategic management theory. In order to promote the stability and development of China's securities industry and even the whole national economy, this paper looks forward to the future development of the securities industry, and probes into the corresponding supervision methods. The first chapter is the introduction, which mainly introduces the background and significance of the topic, and briefly describes the relevant theoretical basis and some research results made by domestic and foreign scholars. On the basis of analyzing the stage characteristics and external environment of the development of China's securities industry, the second chapter analyzes the main bottlenecks that affect the development of the securities industry. The third chapter compares and draws lessons from the current situation of the international securities industry, and analyzes the development track of the securities industry in the United States, Japan and South Korea from the perspective of the international perspective. From these conclusions, we can draw some conclusions that are worthy of the development of China's securities industry. Chapter 4th, as the core chapter of this paper, analyzes several major trends of the future development of China's securities industry, and concretely expounds six feasible measures available for selection and the implementation methods of each measure. Chapter 5th is an extension and extension of Chapter 4th, which is mainly based on summarizing the characteristics and defects of China's current securities regulatory system. This paper gives several regulatory suggestions suitable for the future development of China's securities industry. Chapter 6th summarizes the main contents and conclusions of this paper on the basis of the previous five chapters.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

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