發(fā)布時間：2018-02-25 07:27

  本文關鍵詞： 中小券商 經營模式 改革　出處：《天津大學》2013年碩士論文　論文類型：學位論文

【摘要】：今年是中央政府實施“十二·五規(guī)劃”進程的中期階段，中國的金融市場，特別是證券市場，在過去的幾年里發(fā)生了巨大的變化。國內的金融監(jiān)管機構陸續(xù)出臺了多項利好政策來支持券商的改革與發(fā)展，在這個關鍵階段，中小券商們急需將自身經營模式進行轉型。 目前，國內券商處在經濟穩(wěn)中放緩的大環(huán)境中。在這種環(huán)境下，中小券商的經紀業(yè)務已經不足以支撐其繼續(xù)發(fā)展，面臨著被大型券商兼并的命運，因此，急需對中小券商的經營活動進行模式上的改變。在現實中，其所面臨的兩個問題是基礎較差和部分券商地域性過強，而其優(yōu)勢則是靈活性強、轉型較快。在業(yè)務層次上，中小券商的經營模式改革一方面需要擴大業(yè)務范圍，如增加IB業(yè)務、直投、新三板等項目，另一方面需要以客戶為導向，，將各項主要業(yè)務綜合統(tǒng)籌，實現資源共享。另外，人才的儲備與培養(yǎng)也是券商成功發(fā)展的一項重要條件。而進行經營模式改革的基礎是做好公司內部的風險管理與控制，第一是要做好企業(yè)內部的合規(guī)管理，增強員工的法律法規(guī)意識與自律性；第二是控制好公司的大宗交易與自營業(yè)務的風險。 論文以上市公司東北證券為例，全面剖析了目前在中小券商之間普遍存在的一些具體問題，如固守原有模式、不求創(chuàng)新與發(fā)展；開源節(jié)流效果差；客戶群體較小、基礎薄弱；人才流失過快等等。同時，作者也針對上述問題提出了一些相應的解決方法。
[Abstract]:This is the middle stage of the central government to implement the "Twelve / five planning process, Chinese financial market, especially the stock market, great changes have taken place in the past few years. The reform and development of the domestic financial regulatory agencies have issued a number of favorable policies to support the brokerage, at this critical stage, the small and medium-sized firms they will need their own operating mode transformation.
At present, the domestic brokerage firm in the economic slowdown in the environment. In this environment, small and medium-sized securities brokerage business is not enough to support its continued development, is facing a large brokerage merger destiny, therefore, for small and medium-sized brokerage business activities are in urgent need of mode change. In reality, the two problems facing the poor foundation and part of the regional brokerage is too strong, and its advantage is flexibility, faster transformation. At the operational level, reform the management mode of small and medium sized firms on the one hand to expand the scope of business, such as the increase of IB services, direct investment, the new board and other projects, on the other hand to customer oriented. The comprehensive co-ordination of the main business, realize the sharing of resources. In addition, one of the important conditions of reserve personnel training and also brokers of successful development. The basis for the operation mode of the reform is to make risk management within the company And control, the first is to do well the compliance management within the enterprise, enhance staff's awareness of laws and regulations and self-discipline, and the second is to control the risk of the block trading and proprietary business of the company.
The Northeast securities listed company as an example, analyzes some specific problems in small and medium-sized brokerage firms, such as stick to the original model, not for innovation and development; to the poor effect of customer groups; small, weak foundation; talent loss too fast and so on. At the same time, the author also puts forward some corresponding solutions for the problems mentioned above.

【學位授予單位】：天津大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：F832.39

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本文編號：1533539