中国证券公司核心竞争力评价指标体系研究

发布时间：2018-02-11 01:01

本文关键词： 证券公司核心竞争力评价指标金融创新能力人力资源能力　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】：党的十八大三中全会为金融市场的进一步完善勾勒出了基本路线图。一方面，证券公司投资领域将进一步开放定会迎来更大的发展机遇，同时，证券市场对外开放程度前所未有，竞争必然空前剧烈。目前，我国证券公司在竞争力方面存在着很多问题，归纳起来主要以下几个方面：第一，业务结构单一，缺乏创新能力，我国证券公司的主要收入来源为股票等有价证券的承销与经纪业务，而企业并购等资产管理业务没有有效开展。第二，我国证券公司风险防控能力薄弱，没有建立起科学的风险防控组织体系、机制与流程。第三，，我国证券公司治理存在重大缺陷，股东会、董事会、监事会流于形式，公司处于大股东的掌握之下，严重伤害了小股东的利益。由于多种因素，我国证券公司在竞争力的培养方面缺乏足够的重视，也没有提升核心竞争力的有效的方法和途径，证券公司核心竞争力体系的构建是解决上述问题的唯一手段也是当务之急。本文根据“知网”43篇理论文献的研究从而考察理论界对证券公司核心竞争力整体认识，通过对世纪证券、首创证券等在哈尔滨分支机构实务界管理专家的问卷调查与交流收集竞争力有关指标，采用定性与定量研究方法，最终得出创新能力、人力资源能力、风险防控能力等八项能力作为证券公司核心竞争力的评价指标。运用分层法与综合因子分析法，将上述八个一级指标分层量化，明确了各核心竞争力指标所占的比重，能够为证券公司评价与提升自身核心竞争力提供有益的借鉴。基于创新能力、人力资源能力、风险防控能力对证券公司竞争更具有决定性意义，对此提出了培养建议作为提高我国证券公司核心竞争力的基本对策。证券公司核心竞争力评价指标体系的研究历来是难点，因为证券公司核心竞争力评价指标之间关系交错，很难被量化，从中识别核心竞争力评价指标具有相当难度。本文构建核心竞争力评价指标亮点有两方面：一是比较充分把握理论界、实务界认识，收集信息较多，构建过程严格遵循核心竞争力基本特征标准并采用定性与定量相结合的方法从而使构建过程比较严谨，二是指出企业应将有限资源运用到创新能力、人力资源能力、风险防控能力等更具核心竞争力决定意义的评价指标上，有利于证券公司在培养核心竞争力过程中资源运用的效益最大化。
[Abstract]:The third Plenary session of the 18 CPC Central Committee laid out a basic road map for further improvement of the financial market. On the one hand, the further opening up of the investment field of securities companies will surely usher in greater development opportunities, at the same time, At present, there are many problems in the competitiveness of securities companies in our country, which can be summarized as follows: first, the business structure is single, the lack of innovative ability, The main sources of income of securities companies in China are underwriting and brokerage of securities such as stocks, while asset management business such as mergers and acquisitions has not been carried out effectively. Second, the ability of risk prevention and control of securities companies in China is weak. No scientific risk prevention and control organization system, mechanism and process has been established. Third, there are major defects in the governance of securities companies in China. Shareholders' meetings, boards of directors and supervisory boards are mere formalities, and the company is under the control of major shareholders. It has seriously harmed the interests of minority shareholders. As a result of various factors, our securities companies have not paid enough attention to the cultivation of competitiveness, and there are no effective ways and means to enhance their core competitiveness. The construction of the core competitive power system is the only means to solve the above problems. Based on the study of 43 theoretical documents in "Zhiwang", this paper investigates the overall understanding of the core competitiveness of securities companies in the theoretical circle, and through the analysis of securities in the century, The questionnaire survey and exchange of management experts in the branch offices in Harbin collected relevant indicators of competitiveness, using qualitative and quantitative research methods, and finally came to the conclusion of innovation ability, human resources ability, Eight abilities, such as risk prevention and control ability, are used to evaluate the core competitiveness of securities companies. By means of stratification method and comprehensive factor analysis method, the above eight first-level indexes are stratified and quantified, and the proportion of each core competence index is defined. It can provide useful reference for securities companies to evaluate and enhance their core competitiveness. Based on innovation ability, human resource ability, risk prevention and control ability, it is more decisive for securities companies to compete. Therefore, some suggestions are put forward as the basic countermeasures to improve the core competitiveness of Chinese securities companies. The research on the evaluation index system of the core competence of the securities company has always been a difficult point, because the relationship between the evaluation index of the core competence of the securities company is interlaced, and it is difficult to quantify. It is very difficult to identify the evaluation index of the core competence. There are two aspects to construct the evaluation index of the core competence in this paper: one is to fully grasp the theoretical circle, the practical circle to understand, collect more information, The construction process strictly follows the basic characteristic standard of core competence and adopts the method of combining qualitative and quantitative to make the construction process more rigorous. The second is to point out that enterprises should apply limited resources to innovation ability and human resource ability. Risk prevention and control ability and other more decisive evaluation indicators of core competitiveness are conducive to maximize the benefit of resource utilization in the process of cultivating core competitiveness of securities companies.
【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

【参考文献】