关于基金行业发展环境的思考

发布时间：2019-03-11 08:06

【摘要】：基金行业在近年来的发展遭遇了瓶颈，，与前一阶段的超常规快速发展形成了鲜明对照。造成这种局面的原因主要包括：基金行业的竞争加剧；基金行业前期快速发展积累的问题集中暴露；基金行业整体创新能力有待提高；基金行业人才供给不足等。针对这些问题，证监会指出基金行业稳定发展，需要解决好“持有人利益与其他当事人利益”、“短期利益与长远发展”、“积极创新与稳健经营”、“市场化改革与强化监管”等几方面的关系。基金行业发展需要解决好的这几对关系，涉及到发展面对的外部环境与成长所需要的内部环境。经济、法律、监管等是影响基金行业的重要外部环境因素，治理、经营、人才构成了基金行业主要的内部成长环境。外部环境是基金行业赖以生存的基础，内部环境是基金行业创新、发展的动力源泉。两者之间相互影响、相互制约，共同决定了基金行业的发展前景。基金行业要想突破当前发展的瓶颈，就必须统筹考虑外部与内部环境因素，将两者有机地结合起来，抓住发展的机遇、夯实发展的基础。本文“关于基金行业发展环境的思考”，研究的重点在于结合基金行业发展的轨迹，深入分析基金行业发展面临的主要问题与外部、内部发展环境因素之间的关系，从环境因素对行业发展的影响分析入手，有针对性地提出在营造适合基金行业发展的外部环境，督促基金行业自身完善内部环境建设方面应当采取的措施，以及相关的政策建议。 “十二五”期间，我国国民经济和资本市场将面临转型的重大挑战，基金行业也要肩负起自身的历史使命。基金行业应当怎样转型才能既得到发展，又对国民经济和资本市场产生积极的影响，形成良性的互动？本文也将试图解答这一问题，并希望能够对相关法规、政策的制订产生积极的影响。
[Abstract]:The development of fund industry has encountered bottleneck in recent years, which is in sharp contrast with the rapid and extraordinary development of the previous stage. The main reasons for this situation are: the competition of fund industry intensifies; the problems of rapid development and accumulation of fund industry are exposed; the overall innovation ability of fund industry needs to be improved; the talent supply of fund industry is insufficient, and so on. In response to these problems, the SFC pointed out that the stable development of the fund industry requires a good solution to "the interests of holders and other parties", "short-term interests and long-term development", "positive innovation and sound operation". Market-oriented reform and strengthening supervision and other aspects of the relationship. The development of the fund industry needs to solve these relations, involving the external environment and the internal environment of the development. Economy, law, supervision and so on are the important external environmental factors that affect the fund industry. Governance, management and talent constitute the main internal growth environment of the fund industry. External environment is the foundation for the survival of the fund industry, while the internal environment is the driving force source for the innovation and development of the fund industry. The mutual influence and mutual restriction between the two determine the development prospect of the fund industry together. If the fund industry wants to break through the bottleneck of current development, it must consider the external and internal environmental factors as a whole, combine the two organically, seize the opportunity of development, and consolidate the foundation of development. In this paper, "thinking about the development environment of the fund industry", the focus of the research is to analyze the relationship between the main problems faced by the fund industry and the external and internal environmental factors of the development of the fund industry, combining with the track of the development of the fund industry. Starting with the analysis of the influence of environmental factors on the development of the industry, this paper puts forward the measures that should be taken in the construction of the external environment suitable for the development of the fund industry and the supervision and promotion of the fund industry to improve its internal environment construction. And relevant policy recommendations. During the Twelfth five-year Plan period, China's national economy and capital market will face the major challenges of transformation, and the fund industry should shoulder its own historical mission. How should the fund industry be transformed in order to not only develop, but also have a positive impact on the national economy and the capital market, forming a benign interaction? This paper will also try to answer this question, and hope to have a positive impact on the formulation of relevant laws and policies.
【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】：F832.51

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