G证券公司融资融券业务发展问题的研究

发布时间：2018-04-23 17:19

本文选题：融资融券 + 转融通　；参考：《广西大学》2014年硕士论文

【摘要】：随着我国证券市场这几十年的不断发展和变革的历程,市场监管逐渐趋于成熟,投资者也逐渐趋于理性。此时,开展融资融券业务,不但可以达到监管层对于完善多层次证券市场的诉求,同时可以满足投资者对当前证券市场的各种创新型的投资需求；对于证券公司来说,大力开展和推行这项业务,有利于改变原有经纪业务依靠收取证券交易佣金获得收入的局面。通过融资融券业务产生的利息收入以及因此而放大的证券交易所带来的交易佣金收入形成了证券新的盈利增长点之一。因此,对证券公司如何才能更好的开展融资融券业务就具有了非常必要的研究意义。本文以G证券公司融资融券业务的发展问题为实例开展研究,通过论述G证券公司开展融资融券业务的积极意义,以及梳理G证券公司在发展融资融券业务的过程中在业务决策、授权体系以及业务运行等现行做法,并对其加以深入的分析后,对G证券公司在业务发展过程中自有资金投入不足、面临激烈的市场竞争、融券业务发展不均衡、缺乏业务梳理及相关产品创新以及在业务管理与风险控制还需要完善等一系列存在的问题进行深入剖析。然后通过考察国外相对成熟和完善的融资融券体系以及结合国内券商的相应做法,在对如何拓宽资金来源、深入挖掘客户资源、加强业务创新设计、营销及服务、完善配套制度,加快转融通步伐等方面提出了一系列对策建议,从实践上为证券公司发展融资融券业务提供了一个方向。通过结合自身工作,立足于证券公司的实际情况做分析,理论结合实践,提出切实有效的意见,是本文的亮点和创新之处,为解决真实存在的问题提供了较为可行的操作方案。
[Abstract]:With the continuous development and reform of the securities market in China, market regulation is gradually becoming mature and investors tend to be rational. At this time, developing margin trading can not only meet the demands of the regulatory layer to improve the multi-level securities market, but also meet the investors' various innovations in the current securities market. For securities companies, for securities companies, vigorously carrying out and implementing this business is conducive to changing the situation in which the original brokerage business relies on a commission on securities trading. Therefore, it is very necessary for securities companies to develop margin trading business.
This paper takes the development of G securities margin business as an example, and discusses the positive significance of the financing margin business of G securities companies, and combs the current practices of G securities companies in the process of business decision making, authorization system and business transportation in the process of developing margin trading. After that, G securities companies have insufficient investment in their business development, facing fierce market competition, unbalanced development of margin business, lack of business carding and related product innovation, and a series of existing problems that need to be improved in business management and risk control. In order to expand the source of funds, dig up the customer resources, strengthen the design of the business innovation, improve the marketing and service, improve the system and speed up the pace of the exchange, we put forward a series of suggestions on how to develop the margin business for the development of the securities company. It provides a direction. Through the analysis of the actual situation of the securities company, combining the theory with practice and putting forward practical and effective opinions, it is the highlight and innovation of this article. It provides a more feasible operation scheme to solve the real problems.

【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;F830.42

【参考文献】