延边州证券业发展对策研究

发布时间：2018-09-07 18:42

【摘要】：证券业是金融业最为重要的组成部分之一,作为专门从事证券经营和相关服务的行业,在国民经济的发展中起着举足轻重的作用。通过证券业的金融服务功能,实现了资金的合理配置和资本增值,推动着现代经济的发展。在振兴边疆民族经济、振兴东北老工业基地、长吉图开发开放先导区打造和延龙图一体化建设的大背景下,如何让延边州证券业快速发展从而推动延边州经济的快速发展显得越来越重要。本文希望通过对延边州证券业发展情况的研究,寻找延边州证券业健康发展的道路。文章以证券业相关理论知识为基础,结合延边州证券公司的产生过程、业务范围、经营品种、成交额和投资者数量情况,运用数据归纳总结和实证分析的方法对延边州证券业的发展现状进行梳理。经过系统分析,发现延边州证券业发展过程中存在区域资产证券化率低、证券公司保荐承销贡献度低、证券公司服务水平低、区域证券市场发展基础薄弱以及产品差异化小、金融创新性不足等突出问题。针对延边州证券业发展过程中存在的不足之处,文章建设性地提出建设综合性证券公司、发挥券商保荐承销功能、强化证券人才队伍建设、完善非现场服务、加强投资者适当性管理、完善企业债券市场、支持企业多种方式上市、加强金融创新产品宣传等对策和意见。
[Abstract]:Securities industry is one of the most important components of the financial industry. As an industry specializing in securities business and related services, it plays an important role in the development of the national economy. Under the background of national economy, revitalizing the old industrial base in Northeast China, building the pilot area of Changjitu development and opening up, and building the integration of Yanlongtu, it is becoming more and more important to make the securities industry in Yanbian develop rapidly so as to promote the rapid development of Yanbian economy. The healthy development of the voucher industry.
Based on the relevant knowledge of the securities industry, this paper combs the present situation of the securities industry in Yanbian Prefecture by using the methods of data summary and empirical analysis, combining with the production process, business scope, business varieties, turnover and the number of investors of the securities company in Yanbian Prefecture. There are some outstanding problems in the course of development, such as the low rate of regional asset securitization, the low contribution of securities companies to sponsorship and underwriting, the low service level of securities companies, the weak foundation of regional securities market development, the small product differentiation and the lack of financial innovation. We should give full play to the sponsorship and underwriting functions of securities firms, strengthen the construction of the contingent of securities talents, improve off-site services, strengthen the appropriate management of investors, improve the corporate bond market, support enterprises to list in various ways, and strengthen the publicity of innovative financial products.
【学位授予单位】：延边大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

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