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    2021年中国证券公司数字化转型评价

    摘要

    尽管国内证券公司大都建立了信息技术系统,但数字化程度却远低于其他行业和欧美等发达国家的金融系统。以人工智能、区块链、云计算、大数据等为代表的数字技术在证券领域的应用场景不断拓宽,深刻改变着证券公司业务开展、风险控制、合规监管等。本报告首次建立了系统化的证券公司数字化转型评价体系,其由数字化战略、数字化业务、数字化能力、数字化风控四个方面组成,对全国137家证券公司数字化转型情况进行了计算和排名,为金融监管部门、行业组织、金融机构和投资者提供了参考、依据,为证券公司应用数字技术重塑业务和治理体系提供了指引。随着金融科技快速发展、金融监管改革持续推进,数字化转型成为提升证券服务质量的助推器,实现证券公司动力变革、效率变革、质量变革,也是推动我国证券行业高质量发展的有效途径。

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    Abstract

    Although most domestic securities companies have established information technology systems,the degree of digitization is far lower than that of other industries and the financial systems of developed countries such as Europe and America. The application scenarios of digital technologies represented by artificial intelligence,blockchain,cloud computing and big data in the securities field have been continuously expanded,which has profoundly changed the business development,risk control and compliance supervision of securities companies. This paper establishes a systematic evaluation system for the digital transformation of securities companies for the first time,which is composed of four aspects:digital strategy,digital business,digital ability and digital governance. It calculates and ranks the digital transformation of 137 securities companies in China,which provides a reference and basis for financial regulatory departments,industry organizations,financial institutions and investors,It provides guidance for securities companies to apply digital technology to reshape their business and governance system. With the rapid development of financial technology and the continuous promotion of financial regulatory reform,digital transformation has become a booster to improve the quality of securities services. It is also an effective way to promote the high-quality development of China’s securities industry.

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    作者简介
    孙国茂:孙国茂,青岛大学经济学院特聘教授、博士生导师,山东省亚太资本市场研究院院长,研究领域为公司金融、资本市场、制度经济学。
    李猛:李猛,济南大学应用经济学硕士,中国社会科学院工业经济研究所博士研究生,研究领域为产业经济。
    李会民:李会民,中泰证券研究所高级研究员,研究领域为资本市场。
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