台灣證券業赴中國大陸投資問題之研究

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Title:	台灣證券業赴中國大陸投資問題之研究
Other Titles:	The researches of the problems which belong to the Taiwanese securities business's investment in China 臺灣證券業赴中國大陸投資問題之研究
Authors:	陳勸仁;Chen, Chuan-jen
Contributors:	淡江大學中國大陸研究所碩士在職專班李志強;Li, Chi-keung
Keywords:	綜合證券商;合格境外投資機構(QFII);合作諒解備忘錄(MOU);Integrated Securities Firm;Qualified Foreign Investment Institution(QFII);Memorandum of Understanding(MOU)
Date:	2007
Issue Date:	2010-01-10 23:35:15 (UTC+8)
Abstract:	近幾年來，台灣證券市場飽和導致各證券商競爭相當激烈，且在發展空間上也出現瓶頸，許多證券商不斷在業務上及市場上積極創新與開拓，其中業務創新上已漸顯成果，但在對外開拓市場上卻遭遇相當大挫折，國內證券從業人員都很清楚，台商在哪裡證券商擁有的優勢及商機就在哪裡，於是乎中國大陸當然就成為各證券商極力嘗試佈局首選。本論文從台灣證券市場制度面、運作面與國際面與中國大陸進行比較，雖然基本上台灣證券商具有相當優勢，但不可忽視的是中國大陸近幾年來大幅開放國內市場，由於市場商機驚人，吸引相當龐大資金進駐中國大陸，其中包含最先投入該市場的台商，因此中國大陸結合所吸納之豐沛資金、資訊科技加上「海龜派」學人及香港專業證券金融人才，借鏡香港及台灣證券市場發展經驗，加速資本市場改革，更呈現跳躍性成長省卻其他國家發展證券市場所遇到的障礙；不僅民眾紛紛投入股市，並吸引外資資金已取得QFII身分參加中國大陸次級證券市場，成長之恐將於短短幾年內超越台灣。在前述趨勢下，本論文逐步由台灣證券業的產業環境及現況做探討，了解我國目前競爭態樣及未來發展取向後，再進一步研究中國大陸證券業的產業環境及現況，說明中國大陸證券商競爭優劣勢及經營之潛在風險，並討論台灣證券法令對證券業海外轉投資之規定，最後再分析中國大陸對於外資金融機構開放程度與法令規範，以作為台灣證券商前進中國大陸證券業之參考。透過階段性研究，從兩岸證券市場發展過程，了解兩岸證券商未來經營取向與經營困境，並從對於WTO其他會員國所為開放證券金融市場承諾、兩岸證券市場相關開放及限制法令規範分析，明確阻礙兩岸證券金融交流關鍵點，嘗試以財務操作或經營策略運用等實務做法，尋求迂迴之道，並作為台灣證券商現在或未來擬訂前進中國大陸經營策略之參考任何金融市場競爭本身便存在各種合作可能，兩岸證券市場在提升自我競爭力同時，排除政治意識之爭，善用對方競爭優勢，達到互補互惠，相信是未來面對這場全球金融革命的生存不二法門，也是兩岸證券業者及企業所最樂見雙贏局面。　　In recent years, the securities market saturation of Taiwan causes every dealer in securities to be quite fierce in competition, and the bottleneck appears on the development space, a lot of dealers in securities are innovating and opening up actively on the business and on the market constantly,business innovation among them is it fade in achievement already to have, it encounters to be quite heavy setback on not exploiting market to the outside,staff members of the domestic securities are all very clear,the Taiwan trader is just there in the advantage which the dealer in securities has and business opportunity there, certainly China''s Mainland becomes every dealer in securities and does one''s utmost to try the overall arrangement first-selectedly as a result.　　This thesis is compared with China''s Mainland with world the system of security market of Taiwan,operation,though the Taiwanese dealer in securities has the advantage of analogous toing basically,the one that can''t ignore is that China''s Mainland has opened the domestic market by a wide margin in recent years,because the business opportunity of the market is surprising,attract quite huge fund to be garrisonned in China''s Mainland,among them include putting into the Taiwan traders of this market at first,so plentiful fund that China''s Mainland''s combining absorb,information science and technology in addition, scholar and Hong Kong professional securities financial talent,use Hong Kong and security market of Taiwan for reference and develop experience,accelerate the reform of capital market,present the jumping and grow up and save the obstacle that the development security markets of other countries meet even more; Not merely the people put into the stock market one after another,absorb the foreign capitals fund and already make QFII identity and join the secondary security market of China''s Mainland,the ones that grew up intimidated and surmounted Taiwan in recent several years. 　　Under the above-mentioned trend,this thesis is done the discussion by the industry environment of the securities business of Taiwan and present situation progressively,after understanding our country competes for the pattern and development orientation in future at present,study the industry environments and present situations of the securities business of China''s Mainland further,explain the inferior position excellent in competition of dealer in securities of China''s Mainland and potential risk managed,discuss the regulation that made the investment rotates in the securities decree of Taiwan overseas to the securities business,analyse China''s Mainland to the degree of opening of financial institution of the foreign capitals and decree norm afterwards,in order to advance the reference of the securities business of China''s Mainland as the Taiwanese dealer in securities.　　Through studying phasedly,from the evolution of security market of two sides,understand the two sides dealer in securities and manage the orientation and manage the predicament in the future,and from to WTO for open securities financial market commitment,two sides security market correlated with open and restraining the norm of the decree from being analysed other member state,hinder two sides'' securities finance from exchanging the key,try the practice method of using with financial affairs operating or management tactics ,seek the circuitous way,and work out the reference which advances the management tactics in China''s Mainland now or in the future as the Taiwanese dealer in securities. 　　Financial market competition itself any have various kinds of possible cooperation,two sides security market is raise the self-competitiveness meanwhile,get rid of the political consciousness battle,make the best of the other side''s competition advantage,reach complementarily and mutually beneficial,believe it is the future in the face of the revolutionary existence the only effective means of this global finance,it is securities business person and enterprise of two sides that see the win-win situation the most happily too.
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