本文關(guān)鍵詞： 中小券商 競(jìng)爭(zhēng)戰(zhàn)略 SWOT 財(cái)務(wù)顧問(wèn) 財(cái)富管理　出處：《北京交通大學(xué)》2013年碩士論文　論文類(lèi)型：學(xué)位論文

【摘要】：我國(guó)資本市場(chǎng)經(jīng)過(guò)20多年的發(fā)展,規(guī)模快速擴(kuò)大,體系不斷健全。中小券商在中國(guó)證券行業(yè)的快速發(fā)展中,起到非常重要的作用,是證券行業(yè)不可或缺的組成部分,也是證券行業(yè)健康發(fā)展的基石。2010年以來(lái),證券行業(yè)總收入經(jīng)過(guò)持續(xù)三年下滑,已進(jìn)入最黑暗時(shí)期。然而,中小券商由于底子薄、規(guī)模小、盈利弱等不利因素,傳統(tǒng)業(yè)務(wù)進(jìn)一步受到大型券商的擠壓,面臨更嚴(yán)峻的考驗(yàn)。 中國(guó)證券業(yè)創(chuàng)新發(fā)展研討會(huì)后,隨著創(chuàng)新業(yè)務(wù)各項(xiàng)政策的逐漸落實(shí),行業(yè)也迎來(lái)了創(chuàng)新發(fā)展的巨大機(jī)會(huì)與挑戰(zhàn)。在創(chuàng)新業(yè)務(wù)上,雖然中小券商與大型券商處于同一起跑線(xiàn)上,但是如果不創(chuàng)新,重點(diǎn)發(fā)展特色服務(wù),中小券商仍將面臨更大生存競(jìng)爭(zhēng)壓力。把握創(chuàng)新大會(huì)的各項(xiàng)政策機(jī)會(huì),充分利用區(qū)域優(yōu)勢(shì),適時(shí)發(fā)展特色業(yè)務(wù)領(lǐng)域,在夾縫中求得生存,是中小券商的唯一出路。 本文基于作者在中小券商工作的經(jīng)驗(yàn)和思索,主要運(yùn)用邁克爾·波特的競(jìng)爭(zhēng)戰(zhàn)略理論的五力模型,結(jié)合運(yùn)用SWOT分析模型；通過(guò)剖析我國(guó)中小券商的經(jīng)營(yíng)現(xiàn)狀,中小券商與大券商的競(jìng)爭(zhēng)關(guān)系,提出中小券商區(qū)域?qū)蛐透?jìng)爭(zhēng)戰(zhàn)略和特色服務(wù)導(dǎo)向型競(jìng)爭(zhēng)戰(zhàn)略；立足天風(fēng)證券股份有限公司(以下簡(jiǎn)稱(chēng)天風(fēng)證券)自身狀況制定的企業(yè)戰(zhàn)略和經(jīng)營(yíng)思路；以天風(fēng)證券競(jìng)爭(zhēng)戰(zhàn)略選擇為案例,研究其經(jīng)紀(jì)業(yè)務(wù)向財(cái)富管理轉(zhuǎn)型競(jìng)爭(zhēng)策略、投資銀行業(yè)務(wù)多元化發(fā)展競(jìng)爭(zhēng)策略,研究所業(yè)務(wù)競(jìng)爭(zhēng)策略。
[Abstract]:After more than 20 years' development, the capital market of our country has been expanding rapidly, and the system is constantly improving. Small and medium-sized securities firms play a very important role in the rapid development of China's securities industry. It is an indispensable part of the securities industry and the cornerstone of the healthy development of the securities industry. Since 2010, the total income of the securities industry has entered the darkest period after three years of continuous decline. Because of the weak foundation, small scale, weak profit and other adverse factors, the traditional business is further squeezed by the large securities companies, facing a more severe test. After the seminar on innovation and development of China's securities industry, with the gradual implementation of various policies of innovative business, the industry also ushered in great opportunities and challenges of innovation and development. Although small and medium-sized securities companies and large securities companies are at the same starting line, if they do not innovate and focus on the development of characteristic services, small and medium-sized securities companies will still face greater pressure to survive and compete. It is the only way for small and medium-sized securities companies to make full use of regional advantages, develop characteristic business fields and survive in the gap. Based on the author's experience and thinking in the work of small and medium-sized securities firms, this paper mainly uses the five-force model of Michael Porter's competitive strategy theory and the SWOT analysis model. Based on the analysis of the management situation of the small and medium-sized securities firms in China and the competitive relationship between the small and medium-sized securities companies and the large securities firms, the paper puts forward the regional oriented competition strategy and the characteristic service-oriented competition strategy of the small and medium-sized securities firms. Based on the Tianfeng Securities Co., Ltd. (hereinafter referred to as Tianfeng Securities) its own state of the enterprise strategy and business thinking; Taking the competitive strategy of Tianfeng Securities as an example, this paper studies the competitive strategy of transforming its brokerage business to wealth management, the diversified development of investment banking business and the competitive strategy of research business.
【學(xué)位授予單位】：北京交通大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類(lèi)號(hào)】：F832.51

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