【作者】 金骏；

【导师】 王维安；

【作者基本信息】 浙江大学 ， 金融学， 2003， 硕士

【摘要】 随着加入WTO，我国金融业将面临全面的对外开放，一方面外资金融机构有可能大举进入中国金融市场，另一方面扩大开放将对我国金融体制和金融制度产生重要影响，使我国面临推进金融市场开放和提高国内券商竞争力、融入世界贸易体系和提高本国金融体系竞争力等多方面的矛盾。我国证券业的竞争不仅仅是国内同业的竞争，还有国际强手的挑战。因此，如何客观评价我国券商的竞争能力，引导我国证券业抓住机遇，迅速提高竞争力，保证平稳过渡，将是一个重要课题，不仅对我国证券业的发展具有重要意义，而且也对深化金融体制改革具有全局意义。 本文从竞争力理论的脉络入手，首先阐述了券商竞争力的理论基础——企业竞争力理论，提出了企业竞争力的定义、影响企业竞争力的因素以及企业竞争力的评价方法。在此基础上，定义了券商竞争力的概念，构建了影响券商竞争力的指标体系并提出了券商竞争力的评价方法。 根据构建的券商竞争力指标体系，立足于中外比较，本文三至五章分别从证券市场的产业结构、券商的现实竞争力及券商的潜在竞争力三个角度全面系统地分析了我国券商的整体竞争力状况。首先，利用波特竞争力模型，从现有券商的竞争、潜在进入威胁、替代品威胁、买方议价能力和卖方议价能力分析了中国券商各方面的产业环境并运用SPSS模型对中国14家券商进行了排名。其次，从券商的经营能力、业务能力、盈利能力和风险管理能力分析了中外券商现实竞争力的差距。第三，论述了构成券商竞争力的制度因素，即法人治理结构、组织结构、研发能力等，并指出我国券商存在的不足及今后改进的方向。 在上述分析的基础上，第六章从内外两方面提出了相应的政策建议和意见，即努力创造良好的外部环境；扩大经营规模、开拓券商业务体系，转变盈利模式；现代法人治理结构的建立和组织管理体系的创新。更多还原

【Abstract】 Accompanied with entering into the WTO, China finance industry is confronted with opening to abroad. On the one hand, many foreign finance institutions will come into domestic finance market; on the other hand, further opening will affect domestic finance system. Competition in China securities industry is not only domestic competition, but also international competition. It is an important problem that how to evaluate the competition of securities in China. It will make sense not only for development of securities industry, but also for deepening of China finance system.This thesis begins with the system of competition and expounds the theory base of securities firms competitiveness-enterprise competitiveness theory, then brings forward the concepts of enterprise competitiveness ,main factors affecting the enterprise competitiveness and evaluate methods.In accordance with enterprise competitiveness theory, this thesis makes very comprehensive analysis of competitiveness of securities firms. First, according to the Port’s Five Forces Model, this thesis analyses the organizations of securities industry from five aspects, including degree of rivalry between the existing competitors, the risk of new competitors entering the industry, threat of potential substitutes, the bargaining power of buyers, the bargaining power of suppliers, then sorts out 14 securities firms by SPSS model. Second, this thesis discusses difference between domestic securities firms and foreign securities firms from ability of management, ability of operation, ability of payoff and ability of risk management. Third, this thesis studies system factors, namely corporation administration structure , organization structure , ability of research and development and that sort of thing.At last, this thesis puts forward the policy advice from inside and outside, that is creating nicer outside condition, enlarging scale, exploiting operation system, changing mode of payoff , setting up perfect administration structure and so on.更多还原