论文总字数：18717字

摘 要

投资银行业是指以投资银行为主体，专门从事证券经营和公司的收购吞并、融资投资等服务的非银行金融行业。中国投资银行是在国家经济转型的特殊阶段诞生的，本身就有着时代痕迹，当时国内的经济环境以及政治环境都并不是利于中国投资银行业萌芽的乐土，从诞生之初就留下了很多的后遗症，另外由于中国经济对外开放，国内的投资银行还要受到国外投资银行的冲击。中国投资银行业的市场结构单一，几乎是竞争与垄断共存，近些年来，垄断这一方面尤为突出明显，这一明显现象源于很多方面的缺陷原因，这些不合理的现状更是导致中国投资银行业超高额利润的一大因素。

在当时的经济转型阶段诞生的中国投资银行业，很大程度上为了迎合政府的市场经济改革和促进企业的股份制改革，不可避免的夹杂了很多无法抹去的时代痕迹。这样构建的中国投资银行业市场结构单一，业务品类趋同，业务产品缺乏创新，融资渠道少，人才队伍相对薄弱，法律环境和监管体系不完善。本文对此进行了分析并提出了一些措施和建议以解决存在的问题，如致力业务创新、拓宽融资渠道、加强立法和监管；同时指出了中国投资银行的发展重点和中国投资银行业的发展方向，如：业务定位、金融创新和培养专业人才、加强法律环境建设。

关键词：投资银行 金融机构 人才队伍 市场结构

The Research on Market Structure and Development

of Investment Bank on China

Abstract

Investment banking refers to the non-banking financial industry with investment bank as the main body, specializing in securities business and the acquisition and acquisition of the company, financing and other services. China's investment bank was born in the special stage of the national economic transformation, itself has a feature of that times. Because of the domestic economic environment and the political environment are not a budding paradise for China's investment banking industry,China’s investment banks have a lot of problems from the beginning of its birth.Besides with the deep opening up of China's economy, domestic investment banks have to confront with the impact from foreign investment banks. China's investment banking market structure is single, competition and monopoly are coexistence. In recent years, monopoly is particularly evident, this obvious phenomenon is caused by many defects,.These unreasonable situations are major factors which lead to China's investment bank owning high profits in the banking industry.

窗体顶端

窗体底端

At the time of the economic transformation stage of the birth of China's investment banking industry, to a large extent in order to meet the government's market economy reform and promote the enterprise's shareholding reform, inevitably mixed with a lot of can not erase the traces of the times.This kind of construction of China's investment banking market structure is single, business category convergence, business products lack of innovation, talent is relatively weak, the legal environment is not perfect. This paper analyzes and puts forward some measures and suggestions to solve the existing problems, such as business innovation, broaden the financing channels, strengthen the legislation and supervision. At the same time, it points out the development of China's investment banks and the development direction of China's investment banking industry Such as: business positioning, financial innovation and training of professionals to strengthen the legal environment.

Keywords: Investment Bank,Financial Institution,Talent Team, Market Structure

目录

摘要 Ⅰ

Abstract Ⅱ

第一章 文献综述 8

1.1研究的背景及意义 8

1.2中国投资银行业的背景 8

1.3中国投资银行业的市场结构现状 9

1.4中国投资银行业的发展方向 9

第二章 中国投资银行业的成长历程 11

2.1中国投资银行业的初创期 11

2.2中国投资银行业的成长期 11

2.3中国投资银行业的高峰期 12

第三章 中国投资银行业的市场结构 13

3.1中国投资银行业的现状 13

3.1.1中国投资银行业结构的现状 13

3.1.2中国投资银行业业务结构的现状 13

3.2中国投资银行业现状的合理性 14

3.2.1中国投资银行业现状的优劣势 14

3.2.2中外投资银行的比较 15

第四章 中国投资银行成长中面临的难题 16

4.1中国投资银行业的主要困境 16

4.1.1业务结构单一，缺乏创新 16

4.1.2规模小，融资能力弱 16

4.1.3法律和监管体系不规范 17

4.2改善经营困境的具体策略 17

4.2.1致力业务创新，扩大业务范围 17

4.2.2拓宽融资渠道，解决资金困难 18

4.2.3加强立法，有效监管 18

第五章 中国投资银行业的发展方向 20

5.1中国投资银行的发展重点 20

5.1.1业务定位 20

5.1.2金融创新 20

5.1.3加强风险控制管理 22

5.2中国投资银行业的行业发展方向 22

5.2.1规模效应和行业集中度 22

5.2.2培养专业人才 23

5.2.3加强法律环境建设 23

第六章 主要结论 24

参考文献 25

致 谢 27

第一章 文献综述

1.1研究的背景及意义

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