新形势下证券公司盈利模式拓展及风险防控策略

发布时间：2018-05-07 12:48

本文选题：证券公司 + 盈利模式　；参考：《西南民族大学》2013年硕士论文

【摘要】：证券行业是金融业的重要组成部分。中国加入WTO之后，我国证券行业发展迅速，但是仍然存在利润具有明显的周期性、证券公司的业务创新太过缓慢等问题。尤其是全球金融危机之后，国内证券二级市场持续低迷，我国证券公司的发展遇到了很多困难，如何拓展证券业务，以维持证券公司盈利的稳定性即是本文研究的内容。本文希望通过对证券行业盈利模式的研究，对我国证券公司的可持续发展提供一定的借鉴。论文共分为6章，第一章主要讲述的是研究背景和研究意义，主要内容及研究方法和本文的创新与不足。第二章是本文研究的理论基础。主要对国内外相关研究文献进行了梳理和评述，并对产业组织理论与金融创新理论进行了回顾。第三章基于SCP理论，，从证券行业的市场结构、市场行为以及市场绩效等方面对我国证券公司盈利模式进行了研究，并剖析了我国证券行业盈利模式的存在的问题。第四章主要介绍了美国投资银行盈利模式现状及其对我国证券公司借鉴。首先介绍了美国证券公司盈利模式的演变，其次介绍了美国投资银行盈利模式分析，最后阐述了美国投资银行对我国证券公司盈利模式的借鉴。第五章主要介绍了我国证券公司盈利模式创新拓展及风险管理。主要从证券公司业务结构调整、新业务开拓等方面对证券公司盈利创新进行探讨，并给出在新形势下风险防控体系的相关建议。
[Abstract]:The securities industry is an important part of the financial industry. After China's entry into WTO, China's securities industry has developed rapidly, but there are still some problems such as obvious periodicity of profits and too slow innovation of securities companies' business. Especially after the global financial crisis, the domestic secondary securities market continues to be depressed, the development of securities companies in China has encountered a lot of difficulties, how to expand the securities business to maintain the stability of the profit of securities companies is the content of this paper. This paper hopes to provide some reference for the sustainable development of Chinese securities companies through the study of the profit model of the securities industry. The first chapter is mainly about the research background and significance, the main contents and research methods, and the innovation and deficiency of this paper. The second chapter is the theoretical basis of this study. This paper reviews the relevant research literature at home and abroad, and reviews the theory of industrial organization and financial innovation. The third chapter, based on SCP theory, studies the profit model of China's securities companies from the aspects of market structure, market behavior and market performance, and analyzes the existing problems of the profit model of China's securities industry. The fourth chapter mainly introduces the current situation of American investment bank profit model and its reference to Chinese securities companies. This paper first introduces the evolution of the profit model of American securities companies, then introduces the analysis of the profit model of American investment bank, and finally expounds the reference of American investment bank to the profit mode of Chinese securities companies. The fifth chapter mainly introduces the innovation, development and risk management of the profit model of Chinese securities companies. This paper probes into the profit innovation of securities companies from the aspects of business structure adjustment and new business development of securities companies, and gives some relevant suggestions on risk prevention and control system under the new situation.
【学位授予单位】：西南民族大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F831.5

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