我国证券公司柜台市场发展研究

发布时间：2018-05-15 23:26

本文选题：证券公司 + 金融衍生品　；参考：《厦门大学》2014年硕士论文

【摘要】：从世界范围来看,金融衍生品对提高资源配置效率,促进经济发展起到重要推动作用。在金融衍生品市场中,场外金融衍生品市场占据主要地位。作为资本市场中的场外金融衍生品市场,证券公司柜台市场在美国等发达国家和地区已发展较为成熟。发展证券公司柜台市场,有利于完善多层次资本市场结构,满足市场投融资和风险管理需求,有利于证券公司提高综合实力和核心竞争力。与此同时,作为我国多层次资本市场中的基础市场之一的证券公司柜台市场处于发展初级阶段,法律法规体系尚不完备,产品种类单一,市场的覆盖面、包容力和深度十分有限。如何结合我国实际,采取有效措施,推动发展符合市场化运行规律的证券公司柜台市场,提高资本市场服务实体经济的能力,目前理论界和实务界尚无清晰明确的意见。本文分为五章：第一章为绪论：第二章介绍境外证券公司柜台市场,主要介绍美国市场的建设情况和发展经验；第三章介绍我国证券公司柜台市场发展情况,分析存在问题；第四章分析证券公司柜台市场发展面临的基础环境,结合存在的问题,提出发展我国证券公司柜台市场的建议,即健全法律法规体系、采取行业自律管理为主的市场化监管模式,以及建立完善“两平台,三层次”的柜台市场架构；第五章为结论。
[Abstract]:All over the world, financial derivatives play an important role in improving the efficiency of resource allocation and promoting economic development. In the financial derivatives market, the OTC financial derivatives market occupies a major position. As an over-the-counter financial derivatives market in the capital market, the over-the-counter market of securities companies has developed more mature in developed countries and regions such as the United States. The development of over-the-counter market of securities companies is conducive to perfecting the multi-level capital market structure, meeting the needs of market investment and financing and risk management, as well as improving the comprehensive strength and core competitiveness of securities companies. At the same time, as one of the basic markets in the multi-level capital market of our country, the over-the-counter market of securities companies is in the initial stage of development, the legal system is not complete, the product category is single, and the market coverage. Containment and depth are very limited. At present, there are no clear opinions on how to take effective measures to promote the development of the counter market of securities companies in accordance with the rules of market-oriented operation, and to improve the ability of the capital market to serve the real economy. This article is divided into five chapters: the first chapter is the introduction: the second chapter introduces the overseas securities company counter market, mainly introduces the construction situation and the development experience of the American market, the third chapter introduces the development of China's securities company counter market, analyzes the existing problems; The fourth chapter analyzes the basic environment facing the development of the securities company's counter market, combining with the existing problems, puts forward some suggestions for the development of our country's securities company's over-the-counter market, that is, to perfect the system of laws and regulations. Adopting the market-oriented supervision mode of industry self-discipline management, and establishing and perfecting the "two platforms, three levels" counter market structure. Chapter five is the conclusion.
【学位授予单位】：厦门大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.39

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