中原证券股份有限公司资产管理业务发展研究

发布时间：2018-01-16 04:20

本文关键词：中原证券股份有限公司资产管理业务发展研究　出处：《内蒙古财经大学》2014年硕士论文　论文类型：学位论文

【摘要】：近几年由于中国经济的高速增长，国内居民的财富日益增加，因此投资理财的需求也日益强烈，基于这样的背景，我国证券行业券商资产管理产品在政策扶持的背景下迎来了良好地发展机遇。券商资管产品五年来规模上大幅提高，正在成为券商除经纪业务外一个主要收入来源，这对改善券商收入结构和促进券商转型起到积极地作用，但是由于A股市场近三年市场持续低迷，其资产管理业务尤其是主动管理型产品的管理能力成为了制约规模发展的瓶颈,资产管理业务的创新，管理水平的提高及如何能实现证券行业资产管理的差异化发展，对构建证券公司的核心竞争力具有重要意义。本文以本人所在证券股份有限公司为研究对象，，运用归纳法,调查研究法，理论与实践相结合的方法和案例法通过确定规模、管理模式和风险控制，以风险控制前置为基础，从分级递进管理结合连环创设这一创新模式寻找动因，将公司发行的产品管理模式作结构性调整，最终形成公司主动管理型产品的有效的和具备竞争力的管理模式。本文是从中原证券公司实际出发，有针对性的、系统的进行实例研究，是“量身定做”的管理体系。研究成果基本解决了原有管理方法下不能解决的持续亏损和规模收缩的问题，有助于为中原公司股份有限公司资产管理业务，提供更为完善的投资策略和合适的管理模式，从而实现提高中原证券股份有限公司的资产管理能力，提升此类业务管理的科学性，增强资源配置的合理性，提升资产管理业务的能力，也为证券公司差异化的管理和市场转型战略提供了新的思路。
[Abstract]:In recent years, due to the rapid growth of the Chinese economy, the wealth of domestic residents is increasing, so the demand for investment and financial management is increasingly strong, based on this background. Under the background of policy support, China's securities industry asset management products have ushered in a good opportunity for development. The scale of securities firms' asset management products has been greatly improved in the past five years. It is becoming a main source of income in addition to brokerage business, which plays a positive role in improving the income structure of securities companies and promoting the transformation of securities companies, but due to the A-share market in the past three years the market has been depressed. Its asset management business, especially the management ability of active management products, has become the bottleneck restricting the development of scale, and the innovation of asset management business. The improvement of management level and how to realize the differentiated development of asset management in securities industry are of great significance to the construction of the core competitiveness of securities companies. This paper takes my stock company as the research object, using induction, investigation, theory and practice of the combination of methods and case law through the determination of scale, management model and risk control. On the basis of risk control, this paper tries to find the motivation from the combination of hierarchical progressive management and serial creation, and make structural adjustment of the product management model issued by the company. Finally, the effective and competitive management model of the company's active management products is formed. This paper is based on the reality of the Central Plains Securities Company, targeted, systematic case study. It is a "tailor-made" management system. The research results basically solve the problems of continuous loss and shrinking scale which can not be solved under the original management method, and contribute to the asset management business of Zhongyuan Co., Ltd. To provide a more perfect investment strategy and appropriate management model, so as to improve the asset management capacity of Zhongyuan Securities Co., Ltd., enhance the scientific nature of such business management, and enhance the rationality of resource allocation. Improving the ability of asset management also provides a new way for securities companies to manage differentiation and market transformation strategy.
【学位授予单位】：内蒙古财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39

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