基于Apache Spark的新三板大数据监管平台构建研究

发布时间：2018-01-09 04:00

本文关键词：基于Apache Spark的新三板大数据监管平台构建研究　出处：《中国财政科学研究院》2017年硕士论文　论文类型：学位论文

【摘要】：新三板是我国多层次资本市场的重要组成部分。随着新三板市场扩容至全国,自2014年至今,新三板市场迅速扩张,挂牌企业总数已超过沪深两市上市公司总和。新三板是与我国上海证券交易所、深圳证券交易所并列的三大全国性证券交易场所之一,新三板市场和主板市场同属于证监会管辖,但又具有与主板市场相区别的市场定位;新三板与主板市场同属于我国证券市场监管体系之下,但又有相异于主板市场的监管制度安排;当前新三板挂牌企业中,90%以上为创新、创业、成长型中小微企业,与主板市场的上市公司在公司规模、发展阶段和业务属性方面,也具有重大差异。在当前全国股转公司对新三板的日常监管过程中,存在监管业务量大、重复工作多、人力严重不足等突出问题,全国股转公司人力扩充的速度远远赶不上挂牌公司数目的增长速度,"人工盯”的监管模式,无法满足对海量挂牌公司的监管需求。当前,全国股转公司已上线若干独立开发的业务系统,信息化建设的进度随着监管业务规则的不断完善稳步推进。2016年以来,全国股转公司明确要以大数据监管为切入点,力争对市场上高发、易发的一些违规行为进行及时发现、应对和处理。本文在深入研究新三板监管体系、监管制度安排与监管业务要点的基础上,尝试以专家系统、软件工程学、本体论等学科理论为指导,以新三板大数据监管平台为研究对象,构建基于Apache Spark的多层架构的新三板大数据监管平台。文章首先对新三板大数据平台构建的相关概念进行界定,对新三板监管制度、专家系统、本体论等理论进行阐述,对Apache Spark体系、CLIPS工具进行简要介绍。之后,结合作者的实际工作经验,对新三板大数据监管平台构建的必要性和可行性进行了分析。随后,文章重点围绕新三板大数据监管平台的构建展开,首先提出了新三板大数据监管平台构建的整体思路,对三大类重点监管业务的监管要点进行分析,之后,对新三板大数据监管平台进行了分层设计,并对平台的应用实施进行研究分析,最后,对新三板大数据监管平台的发展提出了展望。
[Abstract]:The new third board is an important part of the multi-level capital market in China. With the expansion of the new third board market to the whole country, since 2014, the new third board market has expanded rapidly. The total number of listed companies has exceeded the total number of listed companies listed in Shanghai and Shenzhen stock exchanges. The new third board is one of the three major national securities exchanges in parallel with the Shanghai Stock Exchange and Shenzhen Stock Exchange of China. The new third board market and the main board market both belong to the jurisdiction of the CSRC, but also have the market positioning which is different from the main board market; The new third board and the main board market belong to the supervision system of China's securities market, but there are different regulatory system arrangements from the main board market. At present, more than 90% of the new three-board listed enterprises are small and medium-sized enterprises with innovation, entrepreneurship, growth, and listed companies in the main board market in terms of company size, stage of development and business attributes. There are also significant differences. In the current national stock to company to the new three board of the daily supervision process, there are a large amount of regulatory business, duplication of work, serious shortage of manpower and other outstanding problems. The speed of manpower expansion of national stock companies is far from keeping up with the growth rate of the number of listed companies, "manual staring" regulatory model, can not meet the regulatory needs of a large number of listed companies. The national stock company has launched a number of independently developed business systems, the progress of information construction along with the continuous improvement of regulatory business rules. Since 2016. The National Stock Exchange Company clearly wants to take big data supervision as the breakthrough point and strive to timely discover, deal with and deal with some irregularities in the market. This paper is deeply studying the new three boards supervision system. On the basis of the arrangement of regulatory system and the main points of supervision business, this paper tries to take the expert system, software engineering, ontology and other disciplines as the guidance, and take the new three boards big data supervision platform as the research object. This paper constructs a new three-board big data supervision platform based on Apache Spark. Firstly, this paper defines the related concepts of the new three-board big data platform, and then defines the new three-board regulatory system. The expert system, ontology and other theories are expounded, and the Apache Spark system and clips tools are briefly introduced. After that, combined with the author's practical work experience. The necessity and feasibility of the construction of the new three boards big data regulatory platform are analyzed. Then, the article focuses on the construction of the new three boards big data regulatory platform. First of all, the paper puts forward the overall idea of the construction of the new three boards big data supervision platform, analyzes the main points of supervision of three major types of supervision business, and then designs the new three boards big data regulatory platform at different levels. Finally, the development of the new three-board big data supervisory platform is prospected.
【学位授予单位】：中国财政科学研究院
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.51

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