【作者】 李航；

【导师】 肖林；

【作者基本信息】 上海交通大学 ， 工商管理， 2012， 硕士

【摘要】 投资银行是现代金融业的重要组成部分，虽然叫做“银行”但并不经营银行的传统业务，而是帮助企业完成直接融资、并购重组、资产管理等业务的金融中介机构，以价值发现为其核心目标。在投资银行业务活动中，风险一直是一个突出的问题，本次美国次贷危机进而引发的全球性经济危机就与投行业务密切相关，因此，研究投资银行监管问题对我国投资银行的发展具有很重要的现实意义。我国的投资银行发展时间短，业务范围窄，在其发展的过程中亦产生了一些问题。本文尝试通过对我国投资银行快速发展过程的回顾和未来创新业务开展的展望，结合监管工作中已经发现或即将面临的主要风险进行深入分析，并结合我国投资银行业务发展、创新与风险监管存在的实质问题，提出对策。本文主要分为五个章节。第一章，介绍全球资本市场投资银行业务；第二章，对投资银行业务发展进行分析；第三章，探讨投资银行业务的创新；第四章，分析投资银行业务创新所带来的风险；第五章，分析我国投资银行监管理论。更多还原

【Abstract】 Investment Bank is an important part of the modern financial industry. Called as a"bank", it does not carry on banking traditional business, but help enterprise completethedirect financing, merger and reorganization, asset management business as afinancialintermediary, with its core objectives to discover the value. In the investmentbankingactivities, the risk has always been a prominent issue. The U.S. subprimemortgage crisis,in turn caused the global economic crisis, is closely related withinvestment bank.Therefore, it is very important to study the regulation of investmentbanks for theirdevelopment in China at present. The China’s investment banks, with ashort time andnarrow business scope, have led to some problems in the course of itsdevelopment. Thisarticle attempts to point out and discuss the main problems in thesupervision andmanagement of China’s investment banks currently, and to makesoundrecommendations.The structure of the thesis as below: The first chapter introduced investment bankingbusiness in global capital markets; The second chapter analyzed the development ofinvestment banking; The third chapter explored investment banking innovation; Thefourth chapter discussed the risks derived from investment banking innovation; Thefifth chapter focused on the regulation and supervision on investment bankingindustry.更多还原