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

【摘要】：證券業(yè)作為中國金融行業(yè)的重要組成部分，已歷經(jīng)了近二十年的風(fēng)風(fēng)雨雨。以20世紀(jì)90年代初期上海證券交易所成立為起點(diǎn)，中國的證券經(jīng)紀(jì)業(yè)務(wù)初創(chuàng)利潤驚人。但之后受巨大利益的誘惑，大量的證券公司成立，導(dǎo)致同質(zhì)化嚴(yán)重，競爭加劇。長期以來，經(jīng)紀(jì)業(yè)務(wù)一直是證券公司的主要支柱業(yè)務(wù)之一，為證券公司帶來了大量的收入。當(dāng)前，，經(jīng)紀(jì)業(yè)務(wù)的競爭幾乎到了白熱化的地步，從業(yè)人員不夠?qū)I(yè)，同質(zhì)化產(chǎn)品過量，傭金下降，很多券商依靠經(jīng)紀(jì)業(yè)務(wù)很難獲得較大收益。事實(shí)上，我國已有不少券商力圖通過轉(zhuǎn)型來找到合適的經(jīng)紀(jì)業(yè)務(wù)發(fā)展模式和途徑，但是收效甚微。步入2013年，券商在經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型的道路上依舊困難重重，本次研究希望以方正證券作為典型，在借鑒國外經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型的成功案例，并結(jié)合國內(nèi)經(jīng)濟(jì)環(huán)境及行業(yè)環(huán)境后，揭示其在轉(zhuǎn)型過程中將遇到的問題，進(jìn)而依托該公司自身的優(yōu)勢，提出有效的應(yīng)對(duì)措施，從而也為其他同行提供參考案例。 本文共六個(gè)章節(jié)，第一章為緒論，介紹研究背景、意義、方法以及創(chuàng)新點(diǎn)，并對(duì)專家和其他研究人員提出的相關(guān)理論進(jìn)行了總結(jié)；第二章是對(duì)美國券商證券經(jīng)紀(jì)業(yè)務(wù)模式進(jìn)行分析，主要以美林證券的經(jīng)紀(jì)業(yè)務(wù)模式為研究對(duì)象，引出中國券商經(jīng)紀(jì)業(yè)務(wù)發(fā)展所得到的啟示；第三章對(duì)中國證券經(jīng)紀(jì)業(yè)務(wù)現(xiàn)狀和發(fā)展趨勢進(jìn)行剖析，提出國內(nèi)證券經(jīng)紀(jì)業(yè)務(wù)發(fā)展存在的問題；第四章是對(duì)本文的研究對(duì)象—方正證券的經(jīng)紀(jì)業(yè)務(wù)發(fā)展現(xiàn)狀以及轉(zhuǎn)型過程中存在的問題進(jìn)行了闡述；第五章則是對(duì)方正證券轉(zhuǎn)型中存在的問題提出了對(duì)策和建議；第六章是結(jié)論，在回顧全文的基礎(chǔ)上得出了證券經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型給方正證券帶來的益處和給行業(yè)內(nèi)其他券商值得借鑒的發(fā)展模式。
[Abstract]:As an important part of China's financial industry, the securities industry has experienced nearly 20 years of ups and downs. Starting from the establishment of the Shanghai Stock Exchange in the early 1990 s, China's securities brokerage business was startling in profit. However, after the temptation of huge interests, a large number of securities companies, leading to serious homogeneity, intensified competition. For a long time, brokerage business has been one of the main pillar businesses of securities companies, which has brought a lot of income to securities companies. At present, the competition of brokerage business has almost reached the point of intense, the employees are not professional enough, the homogeneous product is excessive, the commission is reduced, many securities companies depend on the broker business to obtain the bigger profit very hard. In fact, many securities firms in China have tried to find the appropriate mode and approach of brokerage business development through transformation, but little effect has been achieved. In 2013, the brokerage business in the brokerage business transformation on the road is still difficult, this study hopes to take Fang Zheng Securities as a typical, in reference to foreign successful cases of brokerage business transformation, and combined with the domestic economic environment and industry environment, It reveals the problems it will encounter in the process of transformation, and then, relying on its own advantages, puts forward effective countermeasures, thus providing reference cases for other peers. There are six chapters in this paper. The first chapter is the introduction, which introduces the background, significance, methods and innovations of the research, and summarizes the relevant theories put forward by experts and other researchers. The second chapter is an analysis of the American securities brokerage business model, mainly based on Merrill Lynch brokerage business model as the research object, leading to the inspiration of the development of Chinese securities brokerage business; The third chapter analyzes the current situation and development trend of securities brokerage business in China, and points out the problems existing in the development of domestic securities brokerage business. The fourth chapter is the research object of this article-Fang Zheng Securities brokerage business development status and problems in the process of transformation, the fifth chapter is the other side of the positive securities transformation problems put forward countermeasures and suggestions; The sixth chapter is the conclusion, on the basis of reviewing the full text, the paper draws the benefit of the securities brokerage business transformation to Fang Zheng Securities and the development model that other securities firms in the industry can use for reference.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F832.39

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