证券公司数字化转型与评价研究  

Study on Digital Transformation and Evaluation of Securities Firms

作　　者：孙国茂 李猛[3] Sun Guomao;Li Meng(Finance School,Shandong Technology and Business University,Yantai 264005,Shandong,China;School of Economics,Qingdao 266071,Shandong,China;Institute of Industrial Economics of CASS,Beijing 102488,China)

机构地区：[1]山东工商学院金融学院,山东烟台264005 [2]青岛大学经济学院,山东青岛266071 [3]中国社会科学院工业经济研究所,北京102488

出　　处：《金融发展研究》2022年第9期40-49,共10页Journal Of Financial Development Research

基　　金：山东省金融应用重点研究项目“山东省金融科技与区块链技术应用研究”(2020JRZZ06)。

摘　　要：目前国内证券公司已经建立了信息化系统,但数字化转型程度低于其他金融行业和欧美等发达国家。数字化评价体系的缺失影响着证券公司数字化转型的方向及支持实体经济的效率。本文从数字化战略、数字化业务、数字化能力和数字化治理四个维度,首次建立了证券公司数字化转型评价体系,对全行业证券公司数字化转型进行了量化分析,为监管部门、行业组织和金融机构提供了决策参考,为证券公司应用数字技术重塑业务和完善金融科技治理体系提供依据。研究表明,并非所有证券公司都对数字化转型给予足够重视,这不仅导致证券公司数字化转型具有显著的分化特征,也影响了整个行业的转型进程;随着证券业数字化转型持续推进,证券公司数字化转型评价体系也需持续完善。At present,domestic securities companies have established information technology systems,but the degree of digital transformation is lower than that of other financial industries and developed countries such as Europe and the United States.The lack of digital evaluation system affects the direction of digital transformation of securities companies and the efficiency of supporting the real economy.This paper establishes the first evaluation system for digital transformation of securities firms in four dimensions:digital strategy,digital business,digital capability and digital governance,and provides a quantitative analysis of digital transformation of securities firms across the industry,which provides a reference for regulators,industry organizations and financial institutions to make decisions and provides a basis for securities firms to apply digital technology to reshape their business and improve their fintech governance system.The study shows that not all securities companies pay enough attention to digital transformation,which not only leads to significant differentiation in the digital transformation of securities companies,but also affects the transformation process of the whole industry;as the digital transformation of securities industry continues to advance,the evaluation system of digital transformation of securities companies also needs to be improved continuously.

关 键 词：证券公司 金融科技 数字化转型 评价体系 

分 类 号：F832.39[经济管理—金融学]