【摘要】：金融危機(jī)以來(lái),在國(guó)際經(jīng)濟(jì)增速下滑及國(guó)內(nèi)經(jīng)濟(jì)面臨結(jié)構(gòu)轉(zhuǎn)型的大背景下，資本市場(chǎng)的估值體系受到嚴(yán)重影響，股市相對(duì)低迷。各個(gè)證券公司由于有牛市時(shí)期的積累，及政策的逐步放寬，營(yíng)業(yè)部加速擴(kuò)容。為搶奪客源,提高市場(chǎng)份額，傭金價(jià)格戰(zhàn)立即成為各券商的最直接的手段。受此影響，行業(yè)的平均傭金率逐年下滑,且呈愈演愈烈之勢(shì)。券商之間的競(jìng)爭(zhēng)日趨白熱化,傳統(tǒng)的經(jīng)紀(jì)業(yè)務(wù)步入發(fā)展瓶頸,轉(zhuǎn)型迫在眉睫，各證券公司都將降低傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)利潤(rùn)占公司凈利潤(rùn)比重作為改善公司盈利結(jié)構(gòu)的最重要的指標(biāo)之一。2010年10月19日,證監(jiān)會(huì)發(fā)布、2011年1月1日開(kāi)始實(shí)施的《證券投資顧問(wèn)業(yè)務(wù)暫行規(guī)定》(以下簡(jiǎn)稱《暫行規(guī)定》),旨在規(guī)范證券公司、證券投資咨詢機(jī)構(gòu)從事證券投資顧問(wèn)業(yè)務(wù),保護(hù)投資者合法權(quán)益。《暫行規(guī)定》的出臺(tái)將使證券公司的投資顧問(wèn)業(yè)務(wù)得到規(guī)范,有利于提升證券服務(wù)核心競(jìng)爭(zhēng)力,是券商經(jīng)紀(jì)業(yè)務(wù)盈利模式的一次重大變革。 本文以東北證券C營(yíng)業(yè)部的投資顧問(wèn)業(yè)務(wù)發(fā)展作為藍(lán)本，明確投資顧問(wèn)業(yè)務(wù)內(nèi)涵,充分認(rèn)識(shí)其意義。通過(guò)陳述東北證券C營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)的現(xiàn)狀及存在的問(wèn)題，結(jié)合國(guó)內(nèi)外優(yōu)秀證券公司投資顧問(wèn)業(yè)務(wù)模式的經(jīng)驗(yàn)，對(duì)證券營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)的發(fā)展進(jìn)行深入分析和研究，例如盈利模式比較單一,投資顧問(wèn)人員稀缺,團(tuán)隊(duì)不夠成熟穩(wěn)定,績(jī)效獎(jiǎng)勵(lì)不充分等影響投資顧問(wèn)業(yè)務(wù)發(fā)展的關(guān)鍵環(huán)節(jié)。本文所做研究目的就是,如何解決東北證券C證券營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)開(kāi)展中遇到的各項(xiàng)實(shí)際問(wèn)題,利用工商管理等學(xué)科相關(guān)知識(shí)和理論基礎(chǔ),來(lái)分析研究投資顧問(wèn)業(yè)務(wù)的開(kāi)展辦法,尋求有效的解決方案，試圖找到一種符合證券營(yíng)業(yè)部自身實(shí)際，行之有效的投資顧問(wèn)業(yè)務(wù)發(fā)展模式。 本文深度對(duì)C證券營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)做出了深入分析,探討了新的建設(shè)性想法，對(duì)東北證券C營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)的發(fā)展提出了相應(yīng)的對(duì)策和建議。重點(diǎn)解決投資顧問(wèn)業(yè)務(wù)中重要的三個(gè)環(huán)節(jié):盈利模式設(shè)計(jì),投資顧問(wèn)團(tuán)隊(duì)建設(shè)和投資顧問(wèn)激勵(lì)機(jī)制。C證券營(yíng)業(yè)部投資顧問(wèn)業(yè)務(wù)應(yīng)向以客戶為導(dǎo)向的理財(cái)增值服務(wù)轉(zhuǎn)變,針對(duì)大多數(shù)客戶的實(shí)際需求，培育客戶付費(fèi)習(xí)慣，探索向財(cái)富管理方向轉(zhuǎn)型的道路。建議C營(yíng)業(yè)部建立以為客戶保值增值為基礎(chǔ)的服務(wù)體系，推進(jìn)投資顧問(wèn)業(yè)務(wù)擺脫現(xiàn)有體制的束縛，改善已經(jīng)被扭曲的客戶關(guān)系，建立完善的組織機(jī)構(gòu)和運(yùn)行機(jī)制，，加大理財(cái)產(chǎn)品的創(chuàng)新，豐富理財(cái)內(nèi)容，培養(yǎng)專業(yè)的金融人才，向?qū)I(yè)化進(jìn)一步發(fā)展，回歸金融理財(cái)、創(chuàng)造絕對(duì)收益的本質(zhì)。為最終實(shí)現(xiàn)東北證券經(jīng)紀(jì)業(yè)務(wù)模式的快速轉(zhuǎn)型提供借鑒。
[Abstract]:Since the financial crisis, the capital market valuation system has been seriously affected and the stock market has been relatively depressed against the backdrop of the decline in international economic growth and the structural transformation of the domestic economy. Various securities companies due to the accumulation of bull period, and the gradual relaxation of policies, business accelerated expansion. In order to seize the source of customers and increase market share, the commission price war immediately became the most direct means of securities companies. Affected by this, the industry's average commission rate declined year by year, and showed a growing trend. The competition between securities companies is becoming more and more intense, traditional brokerage business step into the bottleneck of development, the transition is imminent. All securities firms have made reducing the share of traditional brokerage profits in their net profits one of the most important indicators to improve their earnings structure. The interim provisions on Securities Investment Advisory Business (hereinafter referred to as "interim provisions"), promulgated by the Securities Regulatory Commission on January 1, 2011, are aimed at standardizing securities companies and securities investment consulting institutions engaged in securities investment advisory business, To protect the legitimate rights and interests of investors. The introduction of interim regulations will standardize the investment advisory business of securities companies, and will help to enhance the core competitiveness of securities services, which is a major change in the profit model of brokerage business of securities firms. Based on the development of investment advisory business in Northeast China Securities Business Department, this paper defines the connotation of investment advisory business and fully understands its significance. By stating the present situation and existing problems of investment advisory business in Northeast China Securities Business Department, and combining with the experience of domestic and foreign excellent securities companies' investment advisory business model, this paper makes an in-depth analysis and study on the development of investment advisory business in the securities business department. For example, the profit model is single, the investment consultant is scarce, the team is not mature and stable, the performance reward is insufficient and so on. The purpose of this paper is how to solve the practical problems encountered in the investment advisory business of Northeast Securities C Securities Business Department, and make use of the relevant knowledge and theoretical basis of business administration and other disciplines. To analyze and study the development of investment advisory business, to find an effective solution, to find a practical and effective investment advisory business development model in accordance with the securities business department itself. This paper makes a deep analysis of the investment advisory business of C securities business department, probes into new constructive ideas, and puts forward corresponding countermeasures and suggestions for the development of investment advisory business in the C business department of Northeast China Securities Business Department. We should focus on solving three important aspects of investment advisory business: profit model design, investment advisory team building and investment adviser incentive mechanism. C Securities Business Department should change its investment advisory business to a customer-oriented wealth management value-added service. To meet the actual needs of most customers, we should cultivate customer paying habits and explore the way of transition to wealth management. It is suggested that the business department C establish a service system based on maintaining and increasing the value of customers, promote investment advisory business to get rid of the shackles of the existing system, improve the already distorted customer relationship, and establish a perfect organization and operation mechanism. We should increase the innovation of financial products, enrich the content of financial management, train professional financial talents, further develop to specialization, return to financial management, and create the essence of absolute income. For the ultimate realization of northeast securities brokerage business model of rapid transformation to provide 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)】：F272;F832.39

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