Research On The Business Development Of The Regional Equity Market Of A Securities Company Under The New Regulatory Situation

A securities company was established in 2002.After more than ten years of development,it has grown from A regional securities company into A national comprehensive financial service institution.Although the company has developed relatively rapidly in recent years,as A small and medium-sized securities company,A securities company has common problems with similar institutions,such as weak business foundation,low level of internal governance,lack of mechanism and talent,and so on.With the increasingly severe requirements of "deleveraging" and "de-channeling" of the state,the regulatory situation of the financial industry has also undergone tremendous changes.The introduction of a series of regulatory documents such as "new rules for asset management" and "rules for asset management" has cast a huge shadow on the securities industry.Under the new regulatory situation,A securities company is bound to face A very severe market situation,and its competitive disadvantage with large securities companies is also more obvious.How to seek development opportunities in the current financial situation is A problem that the company must solve.This paper combines the theoretical research of capital market with the actual business of financial market,aiming to study how A securities company can solve the business development problem of the company by expanding its business in Regional equity market under the new regulatory situation.In the process of building multi-level capital market in China,regional equity trading market,as an important part of the otc market,has never been able to play its due role.However,with the gradual improvement of the policy supervision system of regional equity trading market in recent years,the business development of regional equity trading market will become a new growth point of capital market business.Through the analysis of the new regulatory situation,this paper combs out the impact and impact of the change of regulatory situation on the business development of A Securities Company.Secondly,it decomposes andanalyses the business development of A Securities Company,uses PEST analysis tool to find out the influence of external environment and internal conditions of the company,and analyses the problems encountered in the current business development of the company and the corresponding influencing factors,so as to propose that A Securities Company can solve the existing business development of the company by developing regional equity trading market business.The problems we face.The business modes proposed in this paper,such as single-fund debt financing,"investment-like" business in the regional equity trading market,real equity investment and guidance for enterprises on the transferable board,try to solve the problems of loss of existing business and difficulty in developing new business of A securities company under the new regulatory situation.Business development research based on the regional equity trading market of securities companies is the feature of this paper,hoping to contribute to the development of institutional business of securities companies struggling under the financial downturn.