本文選題：券商集合理財產(chǎn)品 + 管理　； 參考：《昆明理工大學(xué)》2014年碩士論文

【摘要】：目前,我國券商資產(chǎn)管理業(yè)務(wù)尤其是集合理財業(yè)務(wù)正是飛速發(fā)展的時期,居民日益增長的投資需求為券商集合理財業(yè)務(wù)的發(fā)展帶來無限的機(jī)會,同時也呈現(xiàn)出發(fā)展過程中的許多問題,譬如信息披露不完善、費(fèi)用體系不透明、風(fēng)險控制不嚴(yán)格等。要想改變這一系列問題,必須通過對券商集合理財產(chǎn)品進(jìn)行深入研究以發(fā)現(xiàn)存在的問題,把握產(chǎn)品投資思路,提高產(chǎn)品質(zhì)量,嚴(yán)格風(fēng)險控制和人員管理。 本文結(jié)合興業(yè)證券玉麒麟1號集合資產(chǎn)管理計劃的實(shí)際,采取規(guī)范研究與案例研究相結(jié)合、理論研究與經(jīng)驗(yàn)實(shí)證相結(jié)合的方法,對我國券商集合理財產(chǎn)品的發(fā)展現(xiàn)狀以及興業(yè)證券理財產(chǎn)品的現(xiàn)狀進(jìn)行了分析,指出我國券商集合理財產(chǎn)品發(fā)展和管理中存在的問題,并提出了相應(yīng)的政策建議。 本文首先介紹了券商集合理財產(chǎn)品的定義、產(chǎn)品的分類,將其與公募基金比較得出產(chǎn)品的特點(diǎn),然后概述了券商集合理財產(chǎn)品在我國的發(fā)展歷程,該產(chǎn)品的歷史不是很長,真正意義上的券商集合理財產(chǎn)品發(fā)行于2005年,接著介紹了興業(yè)證券券商理財產(chǎn)品的發(fā)展現(xiàn)狀,并指出其中存在的問題：券商資產(chǎn)管理業(yè)務(wù)的法律地位不明確；證券公司集合資產(chǎn)管理計劃限制公開宣傳；券商理財受到公募和私募的雙重堵截；自有資金退出的限制；產(chǎn)品創(chuàng)新的限制。 接著對興業(yè)證券集合理財產(chǎn)品的發(fā)展戰(zhàn)略進(jìn)行了實(shí)證分析,在這部分中首先對興業(yè)證券公司開展理財產(chǎn)品業(yè)務(wù)進(jìn)行了SWOT分析,接著選取了興業(yè)證券的一支券商集合理財產(chǎn)品：玉麒麟1號,根據(jù)其近幾年的表現(xiàn)對它的優(yōu)劣勢進(jìn)行了深一步的分析,最后給出了興業(yè)證券集合理財產(chǎn)品的發(fā)展規(guī)劃。 然后對券商集合理財產(chǎn)品發(fā)展前景和建議對策進(jìn)行了分析和探討,文章最后給出了對券商集合資產(chǎn)管理業(yè)務(wù)的展望,認(rèn)為券商集合理財產(chǎn)品未來有望加速發(fā)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.
【學(xué)位授予單位】：昆明理工大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F832.33;F832.2

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