發(fā)布時間：2018-05-22 10:12

  本文選題：經(jīng)紀(jì)業(yè)務(wù) + 創(chuàng)新轉(zhuǎn)型　； 參考：《上海交通大學(xué)》2013年碩士論文

【摘要】：近年來我國證券市場發(fā)展迅速，證券公司的競爭日趨激烈，，傭金水平嚴(yán)重下滑，經(jīng)紀(jì)業(yè)務(wù)進(jìn)入“微利時代”，依靠傳統(tǒng)通道型經(jīng)紀(jì)業(yè)務(wù)為盈利模式的證券公司已陷入困境，迫切要求證券公司經(jīng)紀(jì)業(yè)務(wù)進(jìn)行轉(zhuǎn)型。2012年5月7、8日中國證監(jiān)會召開證券行業(yè)創(chuàng)新大會，會議就證券公司創(chuàng)新發(fā)展思路及改革措施進(jìn)行討論，創(chuàng)新成為證券行業(yè)的主旋律。在當(dāng)前國內(nèi)外經(jīng)濟(jì)形勢下，改革創(chuàng)新是證券行業(yè)發(fā)展的必然趨勢，其本質(zhì)是服務(wù)實(shí)體經(jīng)濟(jì),滿足客戶需求,提升行業(yè)核心競爭力，發(fā)揮資本市場中介功能和服務(wù)水平，實(shí)現(xiàn)行業(yè)可持續(xù)發(fā)展。 國家“十二五”規(guī)劃綱要提出，要“努力實(shí)現(xiàn)居民收入增長和經(jīng)濟(jì)發(fā)展同步、勞動報(bào)酬增長和勞動生產(chǎn)率提高同步”�？梢灶A(yù)見，我國居民收入在“十二五”期間將加快增長，居民的財(cái)富管理需求也將隨之上升�？蛻舨辉贊M足于原來的股票和國債交易服務(wù)，而是需要一站式的財(cái)富管理服務(wù)。證券公司以價(jià)格競爭的手段擴(kuò)張市場份額，只會導(dǎo)致行業(yè)整體傭金水平的不斷下滑，單純的打傭金戰(zhàn)而不考慮客戶多樣化的需求和服務(wù)模式的轉(zhuǎn)變勢必是一種不能持久的惡性循環(huán)競爭模式。因此，在證券行業(yè)可持續(xù)發(fā)展的背景下，為滿足客戶不斷多樣化的需求，證券經(jīng)紀(jì)業(yè)務(wù)的運(yùn)作模式必須由傳統(tǒng)通道交易服務(wù)向財(cái)富管理模式進(jìn)行轉(zhuǎn)變。 本文共分七個章節(jié)。第一章緒論，主要介紹本文的研究背景、目的及意義，提出本文的研究思路與方法。第二章財(cái)富管理理論綜述，主要介紹國外財(cái)富管理的理論基礎(chǔ)及國內(nèi)財(cái)富管理的發(fā)展需求。第三章國內(nèi)證券公司經(jīng)紀(jì)業(yè)務(wù)現(xiàn)狀、問題與方向，主要通過對證券公司經(jīng)紀(jì)業(yè)務(wù)的現(xiàn)狀分析，找出問題所在，分析原因，提出解決辦法。第四章國內(nèi)證券公司經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型財(cái)富管理的難點(diǎn)分析，主要通過對現(xiàn)有人才結(jié)構(gòu)、外部競爭、組織架構(gòu)進(jìn)行分析得出結(jié)論。第五章成熟市場經(jīng)濟(jì)體投資銀行財(cái)富管理模式借鑒，主要介紹美國、加拿大證券公司及我國臺灣地區(qū)證券公司財(cái)富管理模式。第六章案例分析，主要以上海證券為案例，提出經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型財(cái)富管理模式分析。第七章，總結(jié)本文的研究結(jié)論，對存在的不足之處作進(jìn)一步思考。 本文研究了西方財(cái)富管理的基本理論，并結(jié)合國內(nèi)證券行業(yè)財(cái)富管理轉(zhuǎn)型思路，通過對國內(nèi)證券公司經(jīng)紀(jì)業(yè)務(wù)發(fā)展現(xiàn)狀及存在問題進(jìn)行分析，提出了國內(nèi)證券公司經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型財(cái)富管理的發(fā)展方向，同時借鑒國外投資銀行財(cái)富管理模式的成功經(jīng)驗(yàn)，并運(yùn)用SWOT分析法對上海證券開展財(cái)富管理業(yè)務(wù)的內(nèi)外部優(yōu)勢和劣勢進(jìn)行綜合分析認(rèn)為，有針對性的提出上海證券開展財(cái)富管理業(yè)務(wù)的對策，包括從服務(wù)體系、流程再造、營銷團(tuán)隊(duì)、網(wǎng)點(diǎn)布局、產(chǎn)品體系等方面構(gòu)建財(cái)富管理業(yè)務(wù)體系，幫助上海證券在這個金融發(fā)展的重要戰(zhàn)略機(jī)遇期，順應(yīng)證券行業(yè)發(fā)展趨勢，加快上海證券經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新轉(zhuǎn)型。
[Abstract]:In recent years, the securities market in China has developed rapidly, the competition of securities companies is becoming more and more fierce, the commission level is declining seriously, the brokerage business has entered the era of "little profit", and the securities companies that rely on the traditional channel brokerage business as the profit mode have been in trouble. China Securities Regulatory Commission (CSRC) held an innovation conference on securities industry on May 7,8, 2012, which discussed the innovative development ideas and reform measures of securities companies, and innovation became the main theme of the securities industry. In the current economic situation at home and abroad, reform and innovation is the inevitable trend of the development of the securities industry. Its essence is to serve the real economy, to meet the needs of customers, to enhance the core competitiveness of the industry, and to bring into play the intermediary function and service level of the capital market. To achieve sustainable development of the industry. In the outline of the 12th Five-Year Plan, it is proposed that "efforts should be made to synchronize the growth of residents' income with the development of the economy, and the growth of labor remuneration and the improvement of labor productivity." It can be predicted that the residents' income will increase rapidly during the 12th Five-Year Plan period, and the wealth management demand of the residents will also rise with it. Customers are no longer satisfied with the original stock and Treasury trading services, but need a one-stop wealth management service. If securities firms expand their market share by means of price competition, they will only lead to a continuous decline in the overall commission level in the industry. A simple commission war without considering the diversified needs of customers and the transformation of service mode is bound to be an unsustainable vicious circle of competition. Therefore, in the context of the sustainable development of the securities industry, in order to meet the diversified needs of customers, the operation mode of securities brokerage business must be changed from the traditional channel trading service to the wealth management mode. This paper is divided into seven chapters. The first chapter introduces the research background, purpose and significance of this paper, and puts forward the research ideas and methods. The second chapter summarizes the theory of wealth management, mainly introduces the theoretical basis of wealth management abroad and the development needs of domestic wealth management. The third chapter is about the current situation, problems and direction of brokerage business of domestic securities companies, mainly through the analysis of the current situation of brokerage business of securities companies, to find out where the problems lie, to analyze the reasons, and to put forward solutions. The fourth chapter analyzes the difficulties of wealth management in the transformation of brokerage business of domestic securities companies, mainly through the analysis of the existing talent structure, external competition and organizational structure. The fifth chapter introduces the wealth management model of investment banks in mature market economy countries, including the United States, Canada and Taiwan. Chapter VI case analysis, mainly taking Shanghai Securities as a case, puts forward the wealth management mode of brokerage business transformation. The seventh chapter summarizes the research conclusions of this paper, and makes further reflection on the shortcomings. This paper studies the basic theories of western wealth management, and analyzes the present situation and existing problems of brokerage business of domestic securities companies by combining the ideas of wealth management transformation in domestic securities industry. This paper puts forward the development direction of wealth management in the transformation of brokerage business of domestic securities companies, and at the same time draws lessons from the successful experience of foreign investment banks' wealth management mode. And using SWOT analysis method to analyze the internal and external advantages and disadvantages of the wealth management business of Shanghai Securities, it is pointed out that the countermeasures for Shanghai Securities to carry out wealth management business, including service system, process reengineering, are put forward. Marketing team, network layout, product system and other aspects of wealth management business system to help Shanghai Securities in this important strategic opportunity period of financial development, conform to the development trend of the securities industry, accelerate the innovation transformation of Shanghai securities brokerage business.
【學(xué)位授予單位】：上海交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：F832.51

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相關(guān)期刊論文 前2條

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