本文選題：中小型券商 + 經(jīng)紀(jì)業(yè)務(wù)��； 參考：《西南財(cái)經(jīng)大學(xué)》2012年碩士論文

【摘要】：經(jīng)過二十多年的發(fā)展,我國(guó)證券業(yè)發(fā)展至今已初具規(guī)模,其中不乏有資金實(shí)力雄厚、經(jīng)營(yíng)能力很強(qiáng)的中金公司、中信證券、申銀萬國(guó)等這樣的綜合類大券商。與此同時(shí),還有數(shù)量較多的中小型券商也占有相當(dāng)一部分的市場(chǎng)份額。在國(guó)際資本市場(chǎng)迅速發(fā)展和創(chuàng)新轉(zhuǎn)型的大背景下,中小型券商如何應(yīng)對(duì)內(nèi)外挑戰(zhàn),在競(jìng)爭(zhēng)日趨激烈的證券業(yè)內(nèi)生存并發(fā)展壯大,將是中小型券商必須面對(duì)的難題。 本文選取我國(guó)西北最大的證券公司之一、甘肅省唯一的法人券商------華龍證券有限責(zé)任公司作為研究對(duì)象,以其作為我國(guó)中小型券商的代表進(jìn)行研究分析。 在我國(guó)特定“新興加轉(zhuǎn)軌”的市場(chǎng)階段,創(chuàng)新是一項(xiàng)伴隨證券公司發(fā)展的經(jīng)常性活動(dòng),創(chuàng)新能力是體現(xiàn)證券公司核心競(jìng)爭(zhēng)力的重要指標(biāo)之一。傭金收入一直是券商利潤(rùn)中最穩(wěn)定的一部分,但它卻深的影響,所系券商,尤其是中小券商進(jìn)行針對(duì)性、系統(tǒng)性的創(chuàng)新轉(zhuǎn)型發(fā)展迫在眉睫。經(jīng)紀(jì)業(yè)務(wù)是證券公司的基礎(chǔ)業(yè)務(wù),也是證券公司開展創(chuàng)新活動(dòng)的重點(diǎn),這也是本文的定題意義所在。 當(dāng)前行業(yè)存在的突出問題是,證券公司在服務(wù)實(shí)體經(jīng)濟(jì)轉(zhuǎn)型升級(jí)和改革發(fā)展、滿足企業(yè)和居民多元化的投融資需求等方面的專業(yè)服務(wù)能力不足,與銀行、信托等金融同業(yè)和國(guó)際先進(jìn)投行相比,不可替代的核心競(jìng)爭(zhēng)力尚未完全形成。近年來市場(chǎng)持續(xù)低迷,證券公司傳統(tǒng)業(yè)務(wù)盈利水平大幅下滑,而銀行、信托的理財(cái)業(yè)務(wù)和投資銀行業(yè)務(wù)快速增長(zhǎng),證券公司專業(yè)服務(wù)能力不足、不能適應(yīng)市場(chǎng)需求及時(shí)有效推出新產(chǎn)品新服務(wù)的問題充分暴露。 目前是證券行業(yè)有史以來運(yùn)作最規(guī)范、財(cái)務(wù)最穩(wěn)健、基礎(chǔ)最厚實(shí)的時(shí)期,但也是證券公司,尤其是中小型券商面臨壓力和挑戰(zhàn)最大的時(shí)期之一；隨著多層次資本市場(chǎng)建設(shè)的加快推進(jìn)和新股發(fā)行、信用債券、金融期貨等方面的改革創(chuàng)新深入開展,市場(chǎng)的廣度和深度正在拓展。綜合判斷,進(jìn)一步推進(jìn)證券公司改革開放與創(chuàng)新發(fā)展的時(shí)機(jī)已經(jīng)成熟,行業(yè)進(jìn)入以創(chuàng)新發(fā)展為主導(dǎo)階段的基本條件已經(jīng)具備。 本文在對(duì)我國(guó)中小型券商的經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新研究中,選擇以華龍證券有限責(zé)任公司為案例,通過剖析其經(jīng)紀(jì)業(yè)發(fā)展現(xiàn)狀及瓶頸,提出我國(guó)中小型券商之證券經(jīng)紀(jì)業(yè)務(wù)發(fā)展創(chuàng)新思路,為整個(gè)證券市場(chǎng)中的中小券商之經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新發(fā)展提供一般思路,引導(dǎo)行業(yè)內(nèi)的證券經(jīng)紀(jì)業(yè)務(wù)的發(fā)展和創(chuàng)新思路,給出發(fā)展對(duì)策和建議,為中小券商發(fā)展和轉(zhuǎn)型提供動(dòng)力。
[Abstract]:After more than 20 years of development, China's securities industry has begun to take shape so far, among which there are many such comprehensive large securities firms as China International Capital Corporation, CITIC Securities and Shenyin Wanguo, which have strong capital strength and strong management ability. At the same time, there are a large number of small and medium-sized securities firms also have a considerable share of the market share. Under the background of rapid development and innovation transformation of international capital market, it will be a difficult problem for small and medium-sized securities companies to cope with internal and external challenges and survive and develop in the increasingly competitive securities industry. In this paper, one of the largest securities companies in Northwest China, the only legal person in Gansu Province-Hualong Securities Co., Ltd. as the research object, with its small and medium-sized securities companies as the representative of the study. Innovation is a regular activity accompanied by the development of securities companies in the specific market stage of "emerging and transforming" in China, and innovation ability is one of the important indicators to reflect the core competitiveness of securities companies. The commission income has always been the most stable part of the brokerage profit, but it has a deep influence, which is targeted by the securities companies, especially the small and medium-sized securities companies, so the systematic innovation and transformation is urgent. Brokerage business is the basic business of securities companies, but also the focus of innovative activities of securities companies, which is the significance of this paper. At present, the outstanding problems in the industry are that the securities companies have insufficient professional service capacity in serving the transformation, upgrading, reform and development of the real economy, meeting the diversified investment and financing needs of enterprises and residents, and the banks, Trust and other financial industry and international advanced investment banks, irreplaceable core competitiveness has not yet been fully formed. In recent years, the market has remained in the doldrums, and the profit level of the traditional business of securities companies has dropped substantially, while the banking, trust and investment banking business has grown rapidly, and the professional service capacity of securities companies has been insufficient. Can not adapt to market demand timely and effective introduction of new products and services problems fully exposed. At present, it is the period of the most standardized operation, the most stable finance and the most solid foundation in the history of the securities industry, but it is also one of the periods when the securities companies, especially the small and medium-sized securities firms, are facing the greatest pressure and challenge. With the rapid development of multi-level capital market and the reform and innovation of new issue, credit bond, financial futures and so on, the breadth and depth of the market are being expanded. Comprehensive judgment shows that the time is ripe to further promote the reform and opening up and innovation and development of securities companies, and the basic conditions for the industry to enter the stage of leading by innovation and development have been met. In this paper, we choose Hualong Securities Co., Ltd as a case to analyze the current situation and bottleneck of brokerage business innovation of small and medium-sized securities companies in China. This paper puts forward the innovative ideas of the securities brokerage business development of the small and medium-sized securities firms in China, provides the general ideas for the innovation and development of the securities brokerage business in the whole securities market, and guides the development and innovation ideas of the securities brokerage business in the industry. Give the development countermeasures and suggestions for the development and transformation of small and medium-sized securities companies to provide impetus.
【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】：2012
【分類號(hào)】：F832.39;F276.3

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