兴业证券公司集合理财产品及其管理对策研究

发布时间：2018-06-01 00:08

本文选题：券商集合理财产品 + 管理　；参考：《昆明理工大学》2014年硕士论文

【摘要】：目前,我国券商资产管理业务尤其是集合理财业务正是飞速发展的时期,居民日益增长的投资需求为券商集合理财业务的发展带来无限的机会,同时也呈现出发展过程中的许多问题,譬如信息披露不完善、费用体系不透明、风险控制不严格等。要想改变这一系列问题,必须通过对券商集合理财产品进行深入研究以发现存在的问题,把握产品投资思路,提高产品质量,严格风险控制和人员管理。本文结合兴业证券玉麒麟1号集合资产管理计划的实际,采取规范研究与案例研究相结合、理论研究与经验实证相结合的方法,对我国券商集合理财产品的发展现状以及兴业证券理财产品的现状进行了分析,指出我国券商集合理财产品发展和管理中存在的问题,并提出了相应的政策建议。本文首先介绍了券商集合理财产品的定义、产品的分类,将其与公募基金比较得出产品的特点,然后概述了券商集合理财产品在我国的发展历程,该产品的历史不是很长,真正意义上的券商集合理财产品发行于2005年,接着介绍了兴业证券券商理财产品的发展现状,并指出其中存在的问题：券商资产管理业务的法律地位不明确；证券公司集合资产管理计划限制公开宣传；券商理财受到公募和私募的双重堵截；自有资金退出的限制；产品创新的限制。接着对兴业证券集合理财产品的发展战略进行了实证分析,在这部分中首先对兴业证券公司开展理财产品业务进行了SWOT分析,接着选取了兴业证券的一支券商集合理财产品：玉麒麟1号,根据其近几年的表现对它的优劣势进行了深一步的分析,最后给出了兴业证券集合理财产品的发展规划。然后对券商集合理财产品发展前景和建议对策进行了分析和探讨,文章最后给出了对券商集合资产管理业务的展望,认为券商集合理财产品未来有望加速发展。
[Abstract]:At present, the asset management business of securities companies in China, especially the business of collective financial management, is a period of rapid development. The growing investment demand of the residents brings unlimited opportunities for the development of the business of collective financial management of securities companies. At the same time, there are many problems in the process of development, such as imperfect information disclosure, opaque expense system, and not strict risk control. In order to change this series of problems, it is necessary to find out the existing problems, to improve the quality of the products, to strictly control the risks and to manage the personnel by deeply studying the securities firms' collective financial products. This paper combines the reality of the asset management plan of Yukelin 1 in Xingye Securities, and adopts the method of combining normative research with case study, theoretical research and empirical research. This paper analyzes the present situation of the development of the collective financial products of the securities firms in China and the present situation of the securities financing products of SocGen, points out the problems existing in the development and management of the collective financial products of the securities firms in China, and puts forward the corresponding policy suggestions. This paper first introduces the definition and classification of securities firms' aggregate financial products, compares them with public funds, and then summarizes the development process of securities firms' collective financial products in China, the history of which is not very long. In the real sense, the collective financial products of securities companies were issued in 2005, then introduced the current situation of the financial products of the securities companies of Xingye, and pointed out the existing problems: the legal status of the asset management business of securities firms is not clear; Securities companies' collective asset management plan limits publicity; securities firms' financial management is blocked by both public offering and private equity; restrictions on withdrawal of their own funds; and restrictions on product innovation. Then the paper makes an empirical analysis on the development strategy of Xingye Securities aggregate financing products. In this part, it first carries out SWOT analysis on the financial products business of Industrial Securities Company. Then, the author selects Yuqilin 1, a collection financial product of Xingye Securities, and analyzes its advantages and disadvantages according to its performance in recent years. Finally, it gives the development plan of the aggregate financial products of Xingye Securities. Then it analyzes and discusses the development prospects and suggestions of securities firms' collective financial products. Finally, the paper gives the prospect of securities firms' collective asset management business, and points out that the securities firms' aggregate financial products are expected to accelerate development in the future.
【学位授予单位】：昆明理工大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.33;F832.2

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