本文選題：中原證券　切入點(diǎn)：證券投資咨詢業(yè)務(wù)　出處：《鄭州大學(xué)》2012年碩士論文

【摘要】：近年來(lái),隨著我國(guó)經(jīng)濟(jì)實(shí)力的進(jìn)一步增強(qiáng),居民收入呈迅速上升趨勢(shì),理財(cái)需求越發(fā)旺盛。同時(shí),以證券投資基金為主體的機(jī)構(gòu)投資者快速發(fā)展,業(yè)已成長(zhǎng)為我國(guó)證券市場(chǎng)的中堅(jiān)力量。這為證券投資咨詢業(yè)務(wù)的發(fā)展,尤其是證券公司證券投資咨詢業(yè)務(wù)的發(fā)展,迎來(lái)一次重要?dú)v史機(jī)遇。 但較之境外成熟市場(chǎng)的證券投資咨詢行業(yè)務(wù),國(guó)內(nèi)證券投資咨詢業(yè)仍顯得年輕,還存在諸多問(wèn)題亟待解決。他山之石,可以攻玉。本文在收集整理大量文獻(xiàn)的基礎(chǔ)上,通過(guò)實(shí)例系統(tǒng)研究中原證券股份有限公司(為書寫方面,下文簡(jiǎn)稱“中原證券公司”)投資咨詢業(yè)務(wù),并結(jié)合對(duì)境外成熟市場(chǎng)證券投資咨詢業(yè)的運(yùn)作和監(jiān)管較為系統(tǒng)的梳理和經(jīng)驗(yàn)總結(jié),以及根據(jù)國(guó)內(nèi)證券投資咨詢業(yè)的現(xiàn)狀和從業(yè)多年來(lái)的工作體會(huì),對(duì)中原證券公司證券投資咨詢業(yè)務(wù)發(fā)展提出建議。 通過(guò)分析國(guó)內(nèi)證券現(xiàn)狀,借鑒境外證券投資咨詢業(yè)務(wù)發(fā)展先進(jìn)經(jīng)驗(yàn),研究中原證券公司證券投資咨詢業(yè)務(wù)實(shí)際情況,本文提出加快該公司證券投資咨詢業(yè)務(wù)的發(fā)展,可以采取如下措施：(1)提高中原證券公司證券研究部門的運(yùn)行效率；(2)培育研究特色,突出差異化研究；(3)加強(qiáng)研究成果的轉(zhuǎn)化,重視信息隔離制度的完善和執(zhí)行；(4)加強(qiáng)政府監(jiān)管與公司內(nèi)部管理相結(jié)合的效率；(5)構(gòu)建公司多層次性技術(shù)職務(wù)管理體系；(6)加強(qiáng)信息隔離制度執(zhí)行和投資者教育的規(guī)劃。
[Abstract]:In recent years, with the further strengthening of China's economic strength, the income of residents is rising rapidly, and the demand for financial management is more and more strong. At the same time, institutional investors with securities investment funds as the main body are developing rapidly. It is an important historical opportunity for the development of securities investment consulting business, especially the development of securities companies' securities investment consulting business. However, compared with the securities investment consulting firms in overseas mature markets, the domestic securities investment consulting industry is still young, and there are still many problems to be solved. A systematic study of the investment consulting business of Zhongyuan Securities Co., Ltd (for writing, hereinafter referred to as "Zhongyuan Securities Company") through an example, And combined with the operation and supervision of overseas mature market securities investment consulting industry more systematic combing and experience summary, and according to the current situation of domestic securities investment consulting industry and working experience for many years, To the Central Plains Securities Company securities investment consulting business development recommendations. By analyzing the present situation of domestic securities, using the advanced experience of overseas securities investment consulting business for reference, and studying the actual situation of securities investment consulting business of Zhongyuan Securities Company, this paper proposes to speed up the development of securities investment consulting business of Zhongyuan Securities Company. We can take the following measures: (1) improve the operational efficiency of the securities research department of the Central Plains Securities Company; (2) cultivate the research characteristics and highlight the differentiation research; and (3) strengthen the transformation of the research results. Pay attention to the perfection and implementation of Information isolation system 4) strengthen the efficiency of combining the government supervision with the internal management of the company. 5) construct the multi-level technical position management system of the company. 6) strengthen the implementation of the information isolation system and the plan of investor education.
【學(xué)位授予單位】：鄭州大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F832.51

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