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论文编号：	14620
作者编号：	2320213736
上传时间：	2024/6/4 22:40:45
中文题目：	基于年报分析的证券行业竞争格局与态势研究——以上市公司为例
英文题目：	Research on Securities Industry Competition Pattern and Situation Based on Annual Report Data Analysis——Taking Listed Companies as an Example
指导老师：	李颖
中文关键字：	证券行业上市公司；竞争格局与态势；主成分分析；竞争力评估；竞争对手识别
英文关键字：	Listed companies in the securities industry;Competition Pattern and Situation;Principal component analysis;Competitiveness assessment;Competitor identification
中文摘要：	改革开放以来，中国特色社会主义市场经济条件下的资本市场与现代金融行业迎来快速发展。我国证券公司作为资本市场与金融行业的重要参与者，虽然发展历程表现出较强的周期性特征，但也随着时代与市场的发展而不断壮大。目前已有约140家证券公司在我国境内展业，从业人员近35万，其中有40余家国内证券公司在沪、深、港交易所上市。 目前国内证券公司主营业务高度同质化，相互之间可替代性强，竞争激烈，营业收入规模分化明显，强者恒强。中小型券商想要有所作为或弯道超越，必须要明确赛道、找准竞争对手、了解自身所处的竞争格局与面临的竞争态势。本次论文拟通过分析中国证券行业上市公司年报数据，针对证券公司经纪、自营、资管、投行四大细分业务板块竞争情况，采用主成分分析法，建立竞争力评价体系，通过细分业务领域竞争群组划分、竞争对手识别的角度来分析各业务板块竞争格局与态势。从行业细分业务板块横向上看，可以帮助相关企业识别目前自身竞争格局，确定相关竞争对手。从行业细分业务板块纵向上看，帮助企业了解自身所处竞争梯队与其他优势或劣势企业之间的差异度与差异点。之后以东吴证券为例，结合竞争力评价体系与竞争情况分析，提出竞争策略选择与竞争力提升方向建议。 通过整合上述业务板块宏观角度与单一公司微观角度的分析，不但有助于分析整个行业相关业务板块竞争情况，还可以在实践中为有志于发展壮大相关业务板块的证券公司提供参考。帮助企业了解相关业务板块竞争格局、精准识别竞争对手或借鉴对象、明确自身竞争短板、合理分配竞争资源，从而为相关企业发展提供参考。
英文摘要：	Since the reform and opening up, the capital market and modern financial industry have developed rapidly under the conditions of socialist market economy with Chinese characteristics. The development process of securities companies in China has shown strong cyclical characteristics, but as an important participant in the capital market and financial industry, they have also continued to grow with the development of the times and the market. At present, there are about 140 securities companies in China with nearly 350000 employees, and more than 40 domestic securities companies are listed on the Shanghai, Shenzhen, and Hong Kong stock exchanges. At present, the main business of domestic securities companies is highly homogenized, with strong substitutability and fierce competition. The scale of operating revenue is clearly differentiated, and the strong remain strong. In order for small and medium-sized securities firms to make a difference or surpass others, they must clarify the track, identify competitors, and understand the competitive landscape and situation they are facing. This paper intends to analyze the annual report data of listed companies in the Chinese securities industry, and focus on the competition situation of the four major sub business sectors of securities companies: brokerage, self operation, asset management, and investment banking. The principal component analysis method will be used to establish a competitiveness evaluation system, and the competition pattern and situation of each business sector will be analyzed from the perspective of dividing competition groups in sub business fields and identifying competitors. From a horizontal perspective of industry segmentation business segments, it can help relevant enterprises identify their current competitive landscape and determine relevant competitors. From a vertical perspective of industry segmentation business segments, it helps enterprises understand the differences and points of differentiation between their own competitive ladder and other advantageous or disadvantaged enterprises. Afterwards, taking Soochow Securities as an example, combined with the competitiveness evaluation system and competition situation analysis, propose suggestions for competitive strategy selection and competitiveness improvement direction. By integrating the macro perspective of the above-mentioned business sectors with the micro perspective of a single company, not only can it help analyze the competition situation of relevant business sectors in the entire industry, but it can also provide reference for securities companies interested in developing and strengthening related business sectors in practice. Assist enterprises in understanding the competitive landscape of relevant business sectors, accurately identifying competitors or reference objects, clarifying their own competitive weaknesses, and reasonably allocating competitive resources, thereby providing reference for the development of related enterprises.
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