DB证券公司资产管理业务银证合作研究

发布时间：2018-03-24 18:20

本文选题：银证合作　切入点：影子银行　出处：《广西大学》2014年硕士论文

【摘要】：自2012年5月证券公司首届创新大会召开以来,在证监会指引和各证券公司自发组织下,我国证券行业迎来了创新发展的春天,迈上了全面创新转型发展之路。证券公司的创收由传统经纪业务收入结构转型为以其他业务为主的收入结构。 2012年至今最为突出的就是证券公司资产管理业务。证券公司资产管理业务“一法两则”(《证券公司客户资产管理业务管理办法》、《证券公司集合资产管理业务实施细则》、《证券公司定向资产管理业务实施细则》)的修订出台,为资产管理业务创新提供了制度保障,有利于证券行业目前在金融同业竞争中的弱势地位,提升证券公司在泛资产管理时代的竞争力。本论文以DB证券公司为研究对象,在证监会制定的“一法两则”基础上,研究银证合作业务的构成及存在的问题,目前资产管理业务的创新存在的主要风险,集中体现在尽职调查风险、操作风险和流动性风险等方面。研究目的在于系统梳理、评述银证合作业务的构成与功能,探讨在证券监管体系下,与商业银行开展合作的理论基础、制度安排与操作框架,结合券商与商业银行合作的发展、现状与特点,分析券商与商业银行加强创新合作模式,同时加强监管,有效规划监管社会融资方式和规模。本文主要研究DB证券公司与商业银行开展的银证合作资产管理业务,通过国内外相文献研究成果的研究及启示,对DB证券公司资产管理业务与商业银行合作的现状进行分析,探讨DB证券公司资产管理业务与商业银行合作的必要性和可行性,并对DB证券资产管理业务银证合作存的问题进行分析。同时分析银证合作的发展环境和发展趋势,结合商业银行和证券公司自身发展的需要,对DB证券公司资产管理业务银证合作模式进行创新,并对DB证券公司资产管理业务银证合作风险防控提出相关解决方案。本文拟采用的研究方法主要有以下几种：历史分析、文献综述法、规范研究和实证研究法相结合、比较研究法等。
[Abstract]:Since the first innovation meeting of securities companies was held in May 2012, under the guidance of the Securities Regulatory Commission and the spontaneous organization of the securities companies, the securities industry in our country has ushered in the spring of innovation and development. The income of securities companies has been transformed from traditional brokerage income structure to other business income structure. So far in 2012, the most outstanding business is the asset management business of securities companies. "one Law and two rules" in Asset Management Business of Securities companies ("measures for Management of Securities Company customer Asset Management"), < "detailed implementation of collective asset management business of securities companies" Then, the "detailed rules for the implementation of targeted Asset Management by Securities companies") was revised and promulgated. It provides a system guarantee for the innovation of asset management business, is conducive to the weak position of the securities industry in the financial interbank competition, and promotes the competitiveness of securities companies in the era of pan-asset management. This paper takes DB Securities Company as the research object, on the basis of "one Law and two rules" formulated by the Securities Regulatory Commission, studies the composition and existing problems of the banking and securities cooperation business, and the main risks of the innovation of the asset management business at present. The purpose of the research is to systematically comb, comment on the composition and function of the cooperative business of bank and securities, and discuss the system of securities supervision. The theoretical basis, system arrangement and operational framework of cooperation with commercial banks, combined with the development, current situation and characteristics of the cooperation between securities firms and commercial banks, are analyzed. Effective planning and supervision of social financing methods and scale. This paper mainly studies the bank and securities cooperative asset management business carried out by DB securities company and commercial bank, and analyzes the present situation of the cooperation between DB securities company and commercial bank through the research and inspiration of domestic and foreign literature. This paper probes into the necessity and feasibility of the cooperation between DB Securities Company's asset management business and commercial banks, and analyzes the problems of bank and securities cooperative deposit in DB securities asset management business. At the same time, it analyzes the development environment and development trend of bank and securities cooperation. Combining with the needs of the development of commercial banks and securities companies, the paper innovates the cooperation mode of bank and securities in the asset management business of DB Securities Company. And put forward the relevant solutions to the risk prevention and control of bank and securities cooperation in asset management business of DB Securities Company. The research methods to be adopted in this paper are as follows: historical analysis, literature review, normative research and empirical research. Comparative research methods.
【学位授予单位】：广西大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39

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