券商支持企业融资创新业务研究

发布时间：2018-05-16 16:22

本文选题：券商支持 + 企业融资　；参考：《昆明理工大学》2013年硕士论文

【摘要】：企业融资创新业务是券商支持的基础业务。近两年来,券商对企业融资创新业务的支持贡献了我国证券行业利润的六成以上。创新是证券市场活力的源泉,是证券市场发展的强大推动力。券商支持企业融资业务创新可以提高市场效率,为投资者提供丰富的产品和优质的服务,促进资本市场持续、稳定、健康发展。本文首先对我国券商支持企业融资创新业务的现状、发展趋势和存在的问题进行了阐述；接着运用"SWOT模型”对券商支持企业融资创新业务的竞争环境、内部资源和外部因素进行了详细的研究和分析,并简要介绍了券商支持企业融资业务创新成果；在以上分析的基础上,论证了券商支持企业融资创新业务的必要性,并结合公司内部劣势和外部风险提出了影响和阻碍创新的四个重点因素；最后,本文提出了券商支持企业融资创新业务的具体对策和建议。本文认为,券商支持企业融资创新必须在坚持顺应行业发展趋势、利用券商支持自身有利资源和外部机会,而且在不违反监管法律的原则下进行,并做到风险可测、可控。基于此,本文给出了推动公司上市、创新管理体制、重视研究和产品开发、拓展非现场通道、深化同业合作的具体对策,还提出了加强与创新相关的风险管理的建议。
[Abstract]:Enterprise financing innovation business is the basic business supported by securities companies. In the past two years, securities firms have contributed more than 60% of the profits of China's securities industry. Innovation is the source of securities market vitality and a powerful driving force for the development of securities market. The securities firms can support the innovation of enterprise financing business to improve market efficiency, provide investors with rich products and high quality services, and promote the sustained, stable and healthy development of the capital market. In this paper, the current situation, development trend and existing problems of securities companies supporting financing innovation business in our country are first expounded, and then the competitive environment of securities companies supporting financing innovation business is analyzed by using "SWOT model". The internal resources and external factors are studied and analyzed in detail, and the paper briefly introduces the innovative achievements of the financing business supported by the securities companies, and on the basis of the above analysis, demonstrates the necessity of the securities firms to support the financing innovation business of the enterprises. Combined with the internal weaknesses and external risks, this paper puts forward four key factors that affect and hinder innovation. Finally, this paper puts forward the specific countermeasures and suggestions for securities companies to support the financing innovation business of enterprises. This paper holds that the securities firms supporting enterprise financing innovation must adhere to the development trend of the industry, use the securities firms to support their own favorable resources and external opportunities, and not violate the principle of regulatory law, and make the risks measurable and controllable. Based on this, this paper gives the specific countermeasures to promote the company listing, innovate the management system, attach importance to research and product development, expand off-site channels, deepen the cooperation among the same industry, and put forward some suggestions to strengthen the risk management related to innovation.
【学位授予单位】：昆明理工大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F275;F832.51

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