【作者】 戴云柏；

【导师】 刘少波；

【作者基本信息】 暨南大学 ， 金融学， 2002， 硕士

【摘要】 在加入WTO的背景下，我国券商必然面临内部和外部激烈的竞争，迫切需要加大横向业务结构调整和纵向业务深化的力度，以获取持续的竞争力。而资产管理业务所具有的特性，决定了它将成为券商构筑新的竞争优势，培育新利润增长点的突破口。本论文的研究目的是通过对资产管理业务的深度剖析，探讨在我国现阶段如何构筑券商资产管理业务的竞争战略和竞争优势。 本论文利用迈克尔·波特的竞争战略与优势理论，首先系统和全面的分析了对资产管理业务起影响的五种竞争作用力的来源及强弱，业务竞争的性质，指出对资产管理业务发展起关键性的因素，并借鉴产业生命周期理论，分析了对处于不同生命周期，资产管理业务的特征及应采取的竞争策略。竞争战略的实现，竞争优势的构筑必须通过价值链各项重要战略活动得以体现，本文构筑了资产管理业务价值链并对重要环节应采取的策略进行了分析。 在借鉴境外券商资产管理业务成功经验的基础上，透彻地分析了我国券商资产管理业务的竞争态势，面临的机遇与挑战，提出在我国现阶段应该采取的竞争战略及如何在企业文化、组织结构、经营活动的整条价值链上围绕战略，最大化的获取竞争优势。 本论文对于研究五种竞争力对资产管理业务发展的作用、资产管理业务价值链重要环节的竞争策略、现阶段我国券商资产管理业务的特征、竞争战略与竞争优势构筑等具有一定贡献，并且，由于所提出的对策也重点着眼于创新性和可行性，因此具有较强的实践意义和价值。更多还原

【Abstract】 Faced with the upcoming severe competitions inside and outside, Chinese securities firms have an urgent need to develop a sustained competitiveness by adjusting their business structure and expanding the business scopes. Asset management business is definitely a choice for securities firms to constitute new competitive strengths and develop new source of profit. The author aims to expound on how to constitute competition strategies and strengths at this stage in China through an in-depth analysis of asset management business.The author cites Michael Porter’s theory on the competition strategy and strength strategy to give systemic analysis to the five competition factors effected on the business of asset management, points out the importance of the five factors to the development of the asset management, and indicated where these five factors derived from, their functions and characteristics. The author also quotes Michael Porter’s theory on industry life circles to analyze the characteristics of the asset management business in different stage of the life circle and the corresponding competition strategies. A value chain has been built and an analysis has been forwarded on the strategy adopted in the important taches.Based on the success of the offshore asset management business, the author gives an in-depth analysis to the competition environment of the asset management business in China, the challenge and the opportunity that Chinese securities firms faced. Competition strategies that should be adopted at current stage in China has been brought up and illumination on how to achieve maximum competition advantages has been presented in the value chain of enterprise culture, organization and operation.The dissertation pays a tribute in the studying of roles of the five competition factors in asset management business, in analysis of competition strategies in the value chains, in current characteristics in Chinese asset management business, and in the constitution of the competition strategy and competition strength. Being feasible and innovative, the solutions thereinto thus obtained a strong realistic meaning and value.更多还原