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论文编号：	15175
作者编号：	2320223857
上传时间：	2024/12/11 14:53:46
中文题目：	全面注册制下Y证券公司投行业务优化研究
英文题目：	Research on the Optimization of Investment Banking Business of Y Securities Company under the Background of Comprehensive Registration System
指导老师：	郝臣
中文关键字：	注册制；证券公司；投行业务
英文关键字：	Registration System; Securities Companies; Investment Banking Business
中文摘要：	全面注册制时代，对券商投行业务能力提出了更高的要求，不同层级的券商将在行业分布上形成“马太效应”，整个券商的业务结构将面临着重大调整。本文通过分析Y证券公司在全面注册制下投行业务的现状，找出存在的问题和不足，基于研究结果，为Y证券公司提供投行业务优化的策略建议，帮助其更好地适应全面注册制的新环境，提高市场竞争力。对于以Y证券公司为代表的其他中小证券公司，该研究也具有参考价值，可以借鉴Y证券公司的经验和教训，为其自身投行业务的优化提供启示。 本文详细探讨了Y证券公司投行业务的多个关键问题，包括对宏观环境和产业政策分析不足、公司在项目立项时准入门槛设置过低、高质量项目储备不足、项目执行过程中保荐和核查工作未能尽责、内控机制执行不力，导致公司多次因合规问题受到监管警示。上述问题产生的主要原因是Y证券公司对证券公司研究能力的忽视、承揽承销能力较弱、前台执行人员的专业胜任能力相对不足、内控程序执行不到位、项目管理缺乏统一规划。通过对上述问题的分析，本文遵循系统性、数据驱动、协调沟通、独立自主、风险管理、人才培养、创新技术、以及动态调整等多方面的思路和原则，提出了从公司层面、项目执行层面和人员层面进行综合优化的策略。具体包括：在公司层面，明确战略目标和市场定位，优化组织架构，强化三投联动、并完善内控体系，加强客户管理；在项目执行层面，提高项目立项准入门槛，强化风险管理与合规审查，并增强公司内外部的协同合作，提高质控内核有效性；在人员层面，引进和培养关键人才，定期进行专业培训以提升员工素质，并通过优化激励机制和引入人工智能技术来提高工作效率。通过这些措施，Y证券公司能够在注册制下更好地应对市场变化，提升业务执行质量和风险控制能力，从而在激烈的市场竞争中保持优势。 本研究的实践意义在于为证券公司在注册制下的业务优化提供了理论和方法上的参考，同时也为相关政策制定提供了实证支持。
英文摘要：	In the era of the comprehensive registration system, higher requirements have been put forward for the investment banking business capabilities of securities firms, and securities companies at different levels will form a "Matthew effect" in the industry distribution, and the business structure of the entire securities company will face major adjustments. This paper analyzes the current situation of Y Security's investment banking business under the comprehensive registration system, identifies the existing problems and shortcomings, and provides strategic suggestions for Y Securities to optimize its investment banking business based on the research results, so as to help it better adapt to the new environment of the comprehensive registration system and improve its market competitiveness. For other small and medium-sized securities companies represented by Y Securities, this study also has reference value, which can learn from the experience and lessons of Y Securities Company and provide enlightenment for the optimization of their own investment banking business. This article discusses in detail a number of key issues in the investment banking business of Y Securities, including insufficient analysis of the macro environment and industrial policies, the company's low entry threshold when the project is established, insufficient reserves of high-quality projects, failure to fulfill the responsibilities of sponsorship and verification during project implementation, and weak enforcement of internal control mechanisms, resulting in the company being repeatedly warned by regulators due to compliance issues. The main reasons for the above problems are the neglect of the research ability of the securities company, the weak underwriting ability, the relative lack of professional competence of the front-end executives, the lack of implementation of internal control procedures, and the lack of unified planning for project management. Through the analysis of the above problems, this paper follows the ideas and principles of systematic, data-driven, coordinated communication, independence, risk management, talent training, innovative technology, and dynamic adjustment, and proposes a comprehensive optimization strategy from the company level, project implementation level, and personnel level. Specifically, at the company level, clarify strategic objectives and market positioning, optimize the organizational structure, strengthen the linkage between investment, research, and investment banking, improve the internal control system, and strengthen customer management; At the project implementation level, we will raise the entry threshold for project initiation, strengthen risk management and compliance review, and enhance internal and external collaboration to improve the effectiveness of quality control. At the personnel level, we introduce and cultivate key talents, conduct regular professional training to improve the quality of employees, and improve work efficiency by optimizing incentive mechanisms and introducing artificial intelligence technology. Through these measures, Y Securities can better respond to market changes under the registration system, improve the quality of business execution and risk control capabilities, so as to maintain an advantage in the fierce market competition. The practical significance of this study is to provide a theoretical and methodological reference for the business optimization of securities companies under the registration system, and also to provide empirical support for the formulation of relevant policies.
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