發(fā)布時(shí)間：2018-01-22 02:06

  本文關(guān)鍵詞： 危機(jī) 危機(jī)管理 證券業(yè)基層經(jīng)營(yíng)單元 不可預(yù)知性　出處：《電子科技大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

【摘要】：自黨的十四大確立市場(chǎng)經(jīng)濟(jì)目標(biāo)以來(lái)，中國(guó)企業(yè)家創(chuàng)造了驚人的業(yè)績(jī)，但隨著內(nèi)外部環(huán)境的變化各種危機(jī)事件也不斷涌現(xiàn)，進(jìn)行危機(jī)管理是中國(guó)所有企業(yè)尤其是隨著資本市場(chǎng)活躍而日益受到關(guān)注的證券業(yè)面前的重大問(wèn)題。本文從證券經(jīng)營(yíng)機(jī)構(gòu)最基層的單位——營(yíng)業(yè)部入手，通過(guò)案例分析的方式，研究當(dāng)前環(huán)境下證券營(yíng)業(yè)部的危機(jī)管理，對(duì)整個(gè)證券業(yè)的健康發(fā)展具有十分重要的現(xiàn)實(shí)意義。 本文首先梳理了證券業(yè)“不可預(yù)知性”危機(jī)主要來(lái)源、類型和危機(jī)管理的基本理念、原則，分析了證券業(yè)危機(jī)的主要形式及對(duì)危機(jī)進(jìn)行了分級(jí)，初步形成了證券業(yè)危機(jī)管理的基本原則、通用應(yīng)對(duì)策略和通用流程，并認(rèn)為當(dāng)前我國(guó)證券業(yè)危機(jī)呈現(xiàn)多發(fā)性、專業(yè)聚焦性的特征，但是在危機(jī)管理上對(duì)媒體的應(yīng)對(duì)不夠、危機(jī)修復(fù)重視不夠，證券經(jīng)營(yíng)機(jī)構(gòu)更注重業(yè)務(wù)經(jīng)營(yíng)績(jī)效、信息不對(duì)稱致防范意識(shí)不足，，缺乏危機(jī)事件的處理手段和經(jīng)驗(yàn)，缺乏建立長(zhǎng)期危機(jī)管理運(yùn)行機(jī)制的意識(shí)，往往停留在文件上，定期的演練和持續(xù)改進(jìn)做得不夠。 進(jìn)而，本文以福萊靈克公司的“黃金法則”為指導(dǎo)，以案例分析的形式來(lái)闡釋行業(yè)基層經(jīng)營(yíng)單元應(yīng)該如何進(jìn)行危機(jī)管理及策略設(shè)計(jì)，即解決上文中提到的問(wèn)題。分析的“不可預(yù)知性”危機(jī)案例包括：以自然災(zāi)害為主的“5.12特大地震”中M營(yíng)業(yè)部應(yīng)對(duì)策略、人為疏忽導(dǎo)致的“火災(zāi)”事故中D營(yíng)業(yè)部和電力中斷的W營(yíng)業(yè)部的應(yīng)對(duì)策略、被黑客攻擊可能導(dǎo)致客戶投訴及投資安全的H營(yíng)業(yè)部及應(yīng)對(duì)媒體的天涯論壇事件應(yīng)對(duì)策略等，通過(guò)詳細(xì)分析這些案例及應(yīng)對(duì)策略得出證券業(yè)危機(jī)的主要共性特征和應(yīng)對(duì)證券業(yè)危機(jī)管理的必備要素（共性特征），即要抓好源頭管理、持續(xù)抓好危情梳理和排查、要建立危機(jī)處置的預(yù)案、要抓好危機(jī)處置的操作演練、要加強(qiáng)對(duì)員工進(jìn)行危機(jī)教育、要建立與新聞媒體部門(mén)的聯(lián)絡(luò)與溝通長(zhǎng)效機(jī)制、要與當(dāng)?shù)嘏沙鏊途S穩(wěn)辦溝通聯(lián)系、要加強(qiáng)本單位內(nèi)部資料的管理。 在第三章的基礎(chǔ)上，第四章的重點(diǎn)是設(shè)計(jì)應(yīng)急策略，即以“不可預(yù)知性”為側(cè)重點(diǎn)，進(jìn)一步深入分析證券行業(yè)基層經(jīng)營(yíng)單元危機(jī)管理體系各分支設(shè)計(jì)重點(diǎn)，包括預(yù)防戰(zhàn)略體系、管理應(yīng)對(duì)體系、管理恢復(fù)體系等，形成了包括火災(zāi)事故應(yīng)急處理策略、洪澇災(zāi)害應(yīng)急處理策略、地震應(yīng)急處理策略、群體性突發(fā)事件應(yīng)急處理策略、人為破壞和恐怖襲擊應(yīng)急處理策略及重大傷亡事故應(yīng)急處理策略等證券業(yè)可能主要面臨的危機(jī)處理策略，基本構(gòu)建了一套有較強(qiáng)實(shí)用價(jià)值的證券基層經(jīng)營(yíng)單元“不可預(yù)知性危機(jī)應(yīng)急預(yù)案”，完成了本文的初衷。 總體上，本文以現(xiàn)存的證券業(yè)危機(jī)管理的問(wèn)題為突破口，通過(guò)多個(gè)案例分析的形式，總結(jié)成功危機(jī)管理的共性特征，最終形成了一套包括多種危機(jī)的有較強(qiáng)實(shí)用價(jià)值的證券基層經(jīng)營(yíng)單元“不可預(yù)知性危機(jī)應(yīng)急預(yù)案”的基本策略。
[Abstract]:Since the 14th National Congress of the Communist Party of China established the goal of market economy, Chinese entrepreneurs have created amazing achievements, but with the changes of internal and external environment, a variety of crisis events have been emerging. Crisis management is an important problem for all Chinese enterprises, especially for the securities industry, which has been paid more and more attention with the active capital market. This paper starts with the business department, which is the most basic unit of the securities management institutions. It is of great practical significance for the healthy development of the whole securities industry to study the crisis management of the securities business department in the current environment through the way of case study. This article first combs the securities industry "unpredictable" crisis main source, the type and the crisis management basic idea, the principle, has analyzed the securities industry crisis main form and has carried on the classification to the crisis. It has formed the basic principles of securities industry crisis management, general coping strategy and general process, and thinks that the current securities industry crisis in our country presents the characteristics of multiple, professional focus. However, in crisis management, the media is not enough, crisis repair is not enough, securities management institutions pay more attention to business performance, information asymmetry leads to inadequate awareness of prevention, lack of means and experience to deal with crisis events. Lack of awareness to establish a long-term crisis management operating mechanism, often stay on the document, regular exercises and continuous improvement is not enough. Furthermore, under the guidance of "Golden Rule" of Flailink Company, this paper explains how to carry out crisis management and strategy design in the basic management unit of the industry in the form of case study. That is to solve the problem mentioned above. The analysis of the "unpredictable" crisis cases include: "5.12 earthquake mainly natural disasters" M business department response strategy. The countermeasures of "fire" accident caused by human negligence in D business department and W business department where power is interrupted. By the hacker attack may lead to customer complaints and investment security H business and response to media Tianya Forum incident response strategy. Through the detailed analysis of these cases and countermeasures, the main common characteristics of the securities industry crisis and the necessary elements to deal with the securities industry crisis management (common characteristics, that is to do a good job of source management) are obtained. We should continue to do a good job in combing and investigating the crisis situation, establishing the crisis handling plan, doing a good job in the operation exercise of the crisis disposal, strengthening the crisis education to the staff, and establishing a long-term mechanism of liaison and communication with the news media department. To communicate with the local police station and maintenance office, to strengthen the unit's internal information management. On the basis of the third chapter, chapter 4th focuses on the design of emergency strategy, that is, "unpredictable" as the focus, further in-depth analysis of the securities industry grass-roots management unit crisis management system design focus. Including the prevention strategy system, the management response system, the management recovery system and so on, has formed including the fire accident emergency treatment strategy, the flood disaster emergency treatment strategy, the earthquake emergency treatment strategy. The crisis management strategy that the securities industry may be faced with, such as group emergency response strategy, artificial destruction and terrorist attack emergency response strategy and heavy casualty accident emergency management strategy and so on. A set of "unpredictable crisis contingency plan", which has strong practical value, has been constructed, and the original intention of this paper has been completed. As a whole, this paper summarizes the common characteristics of successful crisis management through the analysis of many cases, taking the existing problems of crisis management in the securities industry as a breakthrough. Finally, a set of basic strategies of "unpredictable crisis contingency plan", which has strong practical value, has been formed, which includes many kinds of crises.
【學(xué)位授予單位】：電子科技大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.51

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