本文選題：證券公司 + 轉(zhuǎn)型戰(zhàn)略　； 參考：《西南財(cái)經(jīng)大學(xué)》2013年碩士論文

【摘要】：傳統(tǒng)證券營(yíng)業(yè)部依賴通道服務(wù)、服務(wù)同質(zhì)化嚴(yán)重、缺乏真正的核心競(jìng)爭(zhēng)力,由于傭金率下滑、交易量下滑、優(yōu)質(zhì)客戶流失等多種原因?qū)е聽(tīng)I(yíng)業(yè)部經(jīng)紀(jì)業(yè)務(wù)收入也出現(xiàn)較大幅度的下降。2012年證券行業(yè)進(jìn)入創(chuàng)新發(fā)展的新時(shí)期,在放松管制、加強(qiáng)監(jiān)管的背景下,類似“雙融”、“約定購(gòu)回”、“資產(chǎn)證券化”等創(chuàng)新業(yè)務(wù)、創(chuàng)新服務(wù)不斷涌現(xiàn),以及新三板擴(kuò)容、‘全國(guó)中小企業(yè)股份轉(zhuǎn)讓系統(tǒng)建成、前海產(chǎn)權(quán)交易中心成立標(biāo)志著中國(guó)建設(shè)多層次資本市場(chǎng)建設(shè)進(jìn)入一個(gè)重要的發(fā)展階段給證券公司營(yíng)業(yè)部業(yè)務(wù)發(fā)展帶來(lái)重要的發(fā)展機(jī)會(huì)。如何在新的證券行業(yè)創(chuàng)新發(fā)展時(shí)期,突破現(xiàn)在的紅海競(jìng)爭(zhēng)困境,探索適合于營(yíng)業(yè)部實(shí)際情況的服務(wù)轉(zhuǎn)型戰(zhàn)略,實(shí)現(xiàn)從通道經(jīng)紀(jì)業(yè)務(wù)向“產(chǎn)品+服務(wù)”綜合金融服務(wù)的轉(zhuǎn)型,從投資咨詢服務(wù)向投資顧問(wèn)、財(cái)富管理服務(wù)轉(zhuǎn)型,從以個(gè)人客戶為主向以企業(yè)機(jī)構(gòu)客戶提供投融資服務(wù)轉(zhuǎn)型,從而培育營(yíng)業(yè)部長(zhǎng)期發(fā)展必須的核心競(jìng)爭(zhēng)力。因此,研究證券營(yíng)業(yè)部在創(chuàng)新發(fā)展的新時(shí)期的轉(zhuǎn)型戰(zhàn)略對(duì)行業(yè)發(fā)展都非常有指導(dǎo)意義,對(duì)于提升證券公司的服務(wù)水平、進(jìn)而提高證券公司的核心競(jìng)爭(zhēng)力有著重要而現(xiàn)實(shí)的意義。 本研究報(bào)告以客戶服務(wù)體系、證券營(yíng)業(yè)部發(fā)展戰(zhàn)略等理論為指導(dǎo),在回顧X證券M營(yíng)業(yè)部實(shí)施戰(zhàn)略轉(zhuǎn)型歷程的基礎(chǔ)上,對(duì)X證券M營(yíng)業(yè)部實(shí)施“礪劍計(jì)劃”、發(fā)展機(jī)構(gòu)客戶的服務(wù)轉(zhuǎn)型過(guò)程中遇到具體困難、轉(zhuǎn)型戰(zhàn)略制定和實(shí)施、經(jīng)驗(yàn)收獲等方面進(jìn)行分析。結(jié)合證券行業(yè)創(chuàng)新發(fā)展的新趨勢(shì),探索證券營(yíng)業(yè)部轉(zhuǎn)型業(yè)務(wù)模式,通過(guò)對(duì)證券營(yíng)業(yè)部競(jìng)爭(zhēng)困境、發(fā)展機(jī)遇、轉(zhuǎn)型的策略、轉(zhuǎn)型實(shí)踐問(wèn)題的分析,試圖尋找一條證券營(yíng)業(yè)部成功實(shí)現(xiàn)服務(wù)轉(zhuǎn)型的模式,為證券營(yíng)業(yè)部未來(lái)發(fā)展尋找方向,引導(dǎo)證券營(yíng)業(yè)部在更廣闊的的“藍(lán)海”上去展開(kāi)更高層次的競(jìng)爭(zhēng)以形成難以超越的競(jìng)爭(zhēng)優(yōu)勢(shì)。本研究報(bào)告通過(guò)六個(gè)章節(jié)進(jìn)行闡述： 第一章：研究背景、研究意義、研究思路、研究方法； 第二章：對(duì)客戶服務(wù)體系、證券營(yíng)業(yè)部發(fā)展戰(zhàn)略的理論研究,奠定營(yíng)業(yè)部轉(zhuǎn)型的理論基礎(chǔ)； 第三章：證券營(yíng)業(yè)部的競(jìng)爭(zhēng)困境和發(fā)展機(jī)遇分析。 第四章：M營(yíng)業(yè)部轉(zhuǎn)型實(shí)踐1-M營(yíng)業(yè)部實(shí)施“礪劍計(jì)劃”,打造投顧為基礎(chǔ)的財(cái)富管理服務(wù)體系； 第五章：M營(yíng)業(yè)部轉(zhuǎn)型實(shí)踐2-M營(yíng)業(yè)部開(kāi)發(fā)機(jī)構(gòu)業(yè)務(wù)進(jìn)軍新藍(lán)海； 第六章：總結(jié)證券營(yíng)業(yè)部轉(zhuǎn)型模式,并對(duì)轉(zhuǎn)型中遇到問(wèn)題和解決思路進(jìn)行初步探討。本研究報(bào)告主要貢獻(xiàn)： 1)通過(guò)對(duì)證券營(yíng)業(yè)部目前發(fā)展階段的競(jìng)爭(zhēng)困境的研究,從更深層次研究證券營(yíng)業(yè)部發(fā)展轉(zhuǎn)型時(shí)期的主要戰(zhàn)略思想：從營(yíng)業(yè)部組織結(jié)構(gòu)、業(yè)務(wù)結(jié)構(gòu)、服務(wù)體系、人才培養(yǎng)等方面實(shí)現(xiàn)“產(chǎn)品+服務(wù)”的全面轉(zhuǎn)型,建立起依托財(cái)富管理為核心的投融資綜合服務(wù)體系是關(guān)鍵。報(bào)告將對(duì)M營(yíng)業(yè)部實(shí)施礪劍計(jì)劃來(lái)實(shí)現(xiàn)服務(wù)轉(zhuǎn)型的過(guò)程進(jìn)行分析總結(jié),提出營(yíng)業(yè)部轉(zhuǎn)型的基本戰(zhàn)略思想,對(duì)行業(yè)其它營(yíng)業(yè)部發(fā)展有借鑒意義。 2)國(guó)家建設(shè)多層次資本市場(chǎng)對(duì)營(yíng)業(yè)部發(fā)展來(lái)說(shuō)是一個(gè)重大的歷史機(jī)遇,發(fā)展機(jī)構(gòu)業(yè)務(wù)是證券營(yíng)業(yè)部開(kāi)展競(jìng)爭(zhēng)的新突破。本報(bào)告將對(duì)營(yíng)業(yè)部可以參與機(jī)構(gòu)業(yè)務(wù)的業(yè)務(wù)類型、各業(yè)務(wù)開(kāi)發(fā)思路以及機(jī)構(gòu)業(yè)務(wù)開(kāi)發(fā)具體實(shí)施方案等方面進(jìn)行分析,提出“發(fā)展機(jī)構(gòu)業(yè)務(wù)是服務(wù)轉(zhuǎn)型的主要方向”、“發(fā)展機(jī)構(gòu)業(yè)務(wù)要敢于創(chuàng)新并善于創(chuàng)新,沒(méi)有創(chuàng)新就沒(méi)有未來(lái)”、“因地制宜尋求重點(diǎn)突破是營(yíng)業(yè)部開(kāi)發(fā)機(jī)構(gòu)業(yè)務(wù)的關(guān)鍵階段”等發(fā)展思路。 本報(bào)告的創(chuàng)新之處： 1)選題具有強(qiáng)烈的現(xiàn)實(shí)意義,對(duì)證券營(yíng)業(yè)部轉(zhuǎn)型工作有較好的借鑒意義。目前證券行業(yè)內(nèi)競(jìng)爭(zhēng)日趨激烈,產(chǎn)品同質(zhì)化嚴(yán)重,各證券公司經(jīng)營(yíng)模式基本相同,在創(chuàng)新發(fā)展時(shí)期,各證券營(yíng)業(yè)部都基本達(dá)成服務(wù)轉(zhuǎn)型的共識(shí),但是如何轉(zhuǎn)型才能讓證券營(yíng)業(yè)部業(yè)務(wù)發(fā)展更上新臺(tái)階,如何通過(guò)轉(zhuǎn)型才能培養(yǎng)營(yíng)業(yè)部核心競(jìng)爭(zhēng)力是一個(gè)見(jiàn)仁見(jiàn)智的課題。X證券M營(yíng)業(yè)部的轉(zhuǎn)型成功實(shí)踐給大家展示了一種轉(zhuǎn)型的思路。 2)理論基礎(chǔ)扎實(shí)。本研究運(yùn)用了大量的理論,通過(guò)對(duì)客戶關(guān)系管理、財(cái)富管理和多層次資本市場(chǎng)、金融企業(yè)戰(zhàn)略等理論等進(jìn)行回顧研討,并在理論基礎(chǔ)之上結(jié)合營(yíng)業(yè)部實(shí)際為營(yíng)業(yè)部的經(jīng)營(yíng)管理提出了一些建設(shè)性意見(jiàn)。 3)重視實(shí)踐性,理論和實(shí)踐相結(jié)合。本報(bào)告立足于營(yíng)業(yè)部轉(zhuǎn)型實(shí)際工作中具體問(wèn)題進(jìn)行研究分析,在理論指導(dǎo)下尋求可行的系統(tǒng)化解決方案,并對(duì)經(jīng)驗(yàn)進(jìn)行總結(jié)。
[Abstract]:The traditional securities business department is dependent on the channel service, the service is homogeneity serious and the core competitiveness is lacking. Due to the decline of the commission rate, the decline of the transaction volume, the loss of high quality customers and so on, the business revenue of the brokerage business has also been greatly reduced in the new period of.2012 years' entry to the innovation and development. Under the background of strong supervision, it is similar to "double melting", "agreed to buy back", "asset securitization" and other innovative services, innovation services are constantly emerging, and the new three board expansion, 'the national small and medium-sized enterprises' share transfer system has been completed. The establishment of Qianhai property right trading center marks an important development step in the construction of China's multi-level capital market construction. The section provides an important development opportunity for the business development of the securities company. How to break through the present competitive dilemma in the Red Sea, explore the service transformation strategy suitable for the actual situation of the business department, and realize the transformation from the channel brokerage business to the "product + service" comprehensive financial service in the new development period of the new securities industry and to realize the transformation from the channel brokerage business to the "product + service" comprehensive financial service and from the investment consultation. The transformation of services to investment advisors, wealth management services, and the transformation of investment and financing services from individual customers to enterprise institutional customers, thus fostering the core competitiveness of the long-term development of the business department. It has important and practical significance to improve the service level of securities companies and enhance the core competitiveness of securities companies.
Guided by the theory of the customer service system and the development strategy of the securities business department, the research report, on the basis of reviewing the strategic transformation process of the X securities M business department, implements the "temper sword plan" for the X M business department, and meets the specific difficulties in the process of service transformation of the institutional customers, the formulation and implementation of the transformation strategy, the experience harvest and so on. In view of the new trend of the innovation and development of the securities industry, the transformation business model of the securities business department is explored. Through the analysis of the competition dilemma, the development opportunity, the strategy of transformation and the practice of the transformation, this paper tries to find a model for the successful implementation of the service transformation of the securities business department and find a way for the future development of the securities business department. To guide the securities business department to develop a higher level of competition in a broader "blue sea" to form a competitive advantage that is difficult to surpass. This research report describes in six chapters:
Chapter 1: research background, research significance, research ideas and research methods;
The second chapter: the theoretical research on the customer service system and the development strategy of the securities business department, laying the theoretical foundation for the transformation of the business department.
The third chapter: the analysis of the competitive difficulties and opportunities of the securities business department.
The fourth chapter: M business department transformation practice 1-M business department implements "sword sword plan", builds the wealth management service system based on investment.
The fifth chapter: M business department transformation practice 2-M business department development agency business into the new blue sea;
The sixth chapter summarizes the transformation mode of the securities business department, and probes into the problems and solutions in the transformation.
1) through the research on the competitive plight of the current development stage of the securities business department, we will study the main strategic ideas of the period of the development and transformation of the securities business department from a deeper level: the comprehensive transformation of the "product + service" from the organizational structure of the business department, the business structure, the service system, the training of talents and so on, and the foundation of the foundation of wealth management as the core. The key to the integrated service system of investment and financing is the analysis and summary of the process of implementing the service transformation by the M business department to realize the service transformation, and put forward the basic strategic ideas of the transformation of the business department, which can be used for reference to the development of other business departments in the industry.
2) the national construction of multi-level capital market is a great historical opportunity for the development of the business department. The development of the agency business is a new breakthrough in the competition of the securities business department. This report will analyze the business types of the business department, the development ideas of each business and the specific implementation plan for the development of the agency business. "Development agency business is the main direction of service transformation". "Development agency business should be creative and innovative, no innovation has no future". "Seeking key breakthroughs in local conditions is the key stage of business development agency business" and other development ideas.
The innovation of this report:
1) the topic is of strong practical significance. It has a good reference significance to the transformation of the securities business department. At present, the competition in the securities industry is becoming increasingly fierce, the product is homogeneity seriously, and the operating modes of the securities companies are basically the same. In the period of innovation and development, all the securities business departments have basically reached the consensus of the service transformation, but how can the transformation be made The development of the business department of securities is more and more new. How to train the core competitiveness of the business department through transformation is a matter of understanding. The successful practice of the transformation of the M Business Department of.X securities has shown a way of thinking for the transformation.
2) the theoretical basis is solid. This study uses a large number of theories and reviews the theory of customer relationship management, wealth management and multi-level capital market, financial enterprise strategy and so on. On the basis of the theory, some constructive suggestions have been put forward to the management of the business department on the basis of the business department.
3) attach importance to practicality, combine theory with practice. This report is based on the research and analysis of specific problems in the practical work of the business department, and seeks a feasible systematic solution under the guidance of the theory, and summarizes the experience.
【學(xué)位授予單位】：西南財(cái)經(jīng)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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