發(fā)布時(shí)間：2018-05-01 13:39

  本文選題：證券公司 + 經(jīng)紀(jì)業(yè)務(wù)　； 參考：《蘭州大學(xué)》2013年碩士論文

【摘要】：多年來,經(jīng)紀(jì)業(yè)務(wù)一直是我國證券公司的核心業(yè)務(wù),收入占比始終居于首位,是證券公司最重要的利潤來源。但是隨著2002年傭金率的相對(duì)自由化,行業(yè)傭金率持續(xù)走低,而近幾年持續(xù)低迷的二級(jí)市場(chǎng)更是對(duì)經(jīng)紀(jì)業(yè)務(wù)“雪上加霜”,隨著競(jìng)爭(zhēng)日趨激烈,傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)面臨前所未有的巨大壓力。 盡管自從實(shí)行浮動(dòng)傭金后,券商就開始謀求轉(zhuǎn)型,但直至2010年融資融券推出、2012年行業(yè)創(chuàng)新浪潮掀起,經(jīng)紀(jì)業(yè)務(wù)在創(chuàng)新背景下才迎來實(shí)質(zhì)性的創(chuàng)新轉(zhuǎn)型機(jī)遇,證券公司紛紛試水創(chuàng)新,勇于“嘗鮮”。信用交易發(fā)展迅速,占比日漸提高,資產(chǎn)管理、投行等創(chuàng)新陣地也為經(jīng)紀(jì)業(yè)務(wù)提供了創(chuàng)新契機(jī)。創(chuàng)新為證券行業(yè)注入的新的活力,為券商的新一輪發(fā)展帶來了希望。 首先,本文分析了國內(nèi)證券市場(chǎng)的沿革和現(xiàn)狀,對(duì)目前證券公司經(jīng)紀(jì)業(yè)務(wù)中出現(xiàn)的問題和面臨的機(jī)遇進(jìn)行了客觀分析,闡明了經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新與轉(zhuǎn)型的必然性。 其次分析了國內(nèi)證券公司創(chuàng)新業(yè)務(wù)的開展情況,并對(duì)經(jīng)紀(jì)業(yè)務(wù)未來的創(chuàng)新趨勢(shì)進(jìn)行了展望。創(chuàng)新為經(jīng)紀(jì)業(yè)務(wù)帶來的機(jī)遇與挑戰(zhàn)并存,證券行業(yè)正從狹義的經(jīng)紀(jì)業(yè)務(wù)運(yùn)營商向綜合金融服務(wù)商轉(zhuǎn)變。未來經(jīng)紀(jì)業(yè)務(wù)中傳統(tǒng)通道業(yè)務(wù)收入占比將繼續(xù)下滑；金融產(chǎn)品將不斷豐富；信用交易占比將快速提高；差異化、豐富、有效的服務(wù)是競(jìng)爭(zhēng)的有力手段；輕型營業(yè)部和網(wǎng)上開戶的發(fā)展將對(duì)原有的市場(chǎng)格局產(chǎn)生明顯影響,區(qū)域型券商面臨更大壓力；營銷策略需要進(jìn)一步創(chuàng)新來適應(yīng)新的市場(chǎng)環(huán)境。 最后,本文理論聯(lián)系實(shí)際,以華龍證券經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型為案例,通過分析華龍證券的內(nèi)外部環(huán)境,運(yùn)用SWOT模型對(duì)華龍證券經(jīng)紀(jì)業(yè)務(wù)的競(jìng)爭(zhēng)環(huán)境、內(nèi)部資源和外部因素進(jìn)行了詳細(xì)的分析和研究。在此基礎(chǔ)上,探討了華龍證券經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新轉(zhuǎn)型的一系列策略和建議,包括公司的經(jīng)紀(jì)業(yè)務(wù)側(cè)重點(diǎn)的傾斜,創(chuàng)新業(yè)務(wù)加重考核權(quán)重,財(cái)富管理品牌的塑造,客服內(nèi)容和方式的創(chuàng)新等。另外,還對(duì)創(chuàng)新實(shí)踐的保障措施進(jìn)行了討論,包括創(chuàng)新轉(zhuǎn)型期的績(jī)效考核制度、人才制度、風(fēng)險(xiǎn)控制與合規(guī)等。 華龍證券是一家區(qū)域特征較為明顯的甘肅券商,行業(yè)排名居中,經(jīng)紀(jì)業(yè)務(wù)一直是公司最重要的收入來源。本文旨在研究券商創(chuàng)新背景下經(jīng)紀(jì)業(yè)務(wù)的創(chuàng)新思路和趨勢(shì),對(duì)華龍證券順應(yīng)行業(yè)發(fā)展趨勢(shì)、推動(dòng)經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型提出具有實(shí)際指導(dǎo)意義的對(duì)策與建議。
[Abstract]:For many years, brokerage business has been the core business of securities companies in our country, and the proportion of income has always occupied the first place, which is the most important source of profits for securities companies. However, with the relative liberalization of the commission rate in 2002, the industry commission rate continued to decline, and the continuing downturn in the secondary market in recent years has made the brokerage business "worse", with the competition becoming increasingly fierce. Traditional brokerage business is facing unprecedented tremendous pressure. Although since the implementation of the floating commission, the brokerage began to seek transformation, but until the launch of margin financing in 2010, the industry innovation wave in 2012, brokerage business in the context of innovation only ushered in substantive innovation transformation opportunities. Securities companies have tried water innovation, the courage to "taste fresh." Credit transaction is developing rapidly and the proportion of credit is increasing day by day. The innovation position of asset management and investment bank also provides innovation opportunity for brokerage business. Innovation for the securities industry into the new vitality, for the new round of securities companies to bring hope. First of all, this paper analyzes the evolution and present situation of domestic securities market, analyzes the problems and opportunities faced by securities companies in brokerage business, and expounds the inevitability of innovation and transformation of brokerage business. Secondly, the paper analyzes the development of domestic securities companies' innovative business, and looks forward to the future innovation trend of brokerage business. Innovation brings both opportunities and challenges to brokerage business, and the securities industry is changing from a narrow brokerage business operator to a comprehensive financial service provider. In the future, the proportion of income of traditional channel business will continue to decline; financial products will be enriched; the proportion of credit transactions will increase rapidly; differentiated, rich and effective services will be the competitive means; The development of light business department and online account opening will have an obvious impact on the original market structure, regional securities companies are facing greater pressure, and marketing strategies need further innovation to adapt to the new market environment. Finally, this paper combines theory with practice, taking Hualong Securities brokerage business transformation as a case, through analyzing the internal and external environment of Hualong Securities, using SWOT model to analyze the competitive environment of Hualong Securities brokerage business. Internal resources and external factors were analyzed and studied in detail. On this basis, this paper discusses a series of strategies and suggestions for the innovation transformation of Hualong securities brokerage business, including the inclination of the focus of the brokerage business, the heavier assessment weight of the innovation business, and the shaping of wealth management brand. Customer service content and way of innovation. In addition, the guarantee measures of innovation practice are discussed, including the performance appraisal system, talent system, risk control and compliance in the period of innovation transformation. Hualong Securities is a more obvious regional characteristics of Gansu securities firms, the industry ranking in the middle, brokerage business has been the company's most important source of income. The purpose of this paper is to study the innovative ideas and trends of brokerage business under the background of brokerage innovation, and to put forward practical guiding countermeasures and suggestions for Hualong Securities to conform to the development trend of the industry and to promote the transformation of brokerage business.
【學(xué)位授予單位】：蘭州大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F273.1;F832.39

【參考文獻(xiàn)】

相關(guān)期刊論文 前9條

1 郭巧玲;;證券經(jīng)紀(jì)業(yè)務(wù)的市場(chǎng)營銷策略[J];東方企業(yè)文化;2010年10期

2 葛紅玲;;我國證券公司盈利模式創(chuàng)新問題研究[J];經(jīng)濟(jì)論壇;2008年20期

3 杜平;;我國證券公司盈利模式的借鑒與創(chuàng)新[J];經(jīng)濟(jì)問題探索;2008年10期

4 何君光;再造我國證券公司經(jīng)紀(jì)業(yè)務(wù)盈利模式[J];經(jīng)濟(jì)縱橫;2005年10期

5 魏炬;論我國證券行業(yè)現(xiàn)階段經(jīng)紀(jì)業(yè)務(wù)同業(yè)市場(chǎng)競(jìng)爭(zhēng)的新特點(diǎn)和營銷管理對(duì)策[J];遼寧大學(xué)學(xué)報(bào)(哲學(xué)社會(huì)科學(xué)版);2001年06期

6 潘朝順,胡朝輝,夏蕓;國外證券經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式與啟示[J];特區(qū)經(jīng)濟(jì);2005年07期

7 王萍;證券經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型探析[J];云夢(mèng)學(xué)刊;2005年02期

8 劉運(yùn)哲;;從北美傭金制度變革看經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型[J];證券市場(chǎng)導(dǎo)報(bào);2010年05期

9 鄭迪;;證券公司財(cái)富管理業(yè)務(wù)發(fā)展策略[J];中國外資;2013年04期

，

本文編號(hào)：1829621