【摘要】：我國(guó)證券市場(chǎng)用二十多年的時(shí)間走完了發(fā)達(dá)國(guó)家成熟市場(chǎng)上百年的發(fā)展歷程。證券市場(chǎng)的繁榮,帶動(dòng)了證券公司如雨后春筍般地快速發(fā)展。這種快速發(fā)展,不僅僅是資產(chǎn)規(guī)模和市場(chǎng)份額的擴(kuò)大,更帶來(lái)了證券經(jīng)紀(jì)人的快速增長(zhǎng),由此所導(dǎo)致的我國(guó)證券經(jīng)紀(jì)人的頻繁、無(wú)序地流動(dòng)問(wèn)題日益成為制約證券公司發(fā)展一個(gè)瓶頸問(wèn)題。所以,本文試圖從定量分析的角度建立證券經(jīng)紀(jì)人流動(dòng)管理動(dòng)態(tài)穩(wěn)定模型,通過(guò)計(jì)算得出使證券經(jīng)紀(jì)人能夠達(dá)到動(dòng)態(tài)穩(wěn)定狀態(tài)時(shí)的最優(yōu)數(shù)據(jù),同時(shí)運(yùn)用該數(shù)據(jù)與當(dāng)前數(shù)據(jù)對(duì)比,提出證券經(jīng)紀(jì)人流動(dòng)管理的對(duì)策和建議,為解決證券經(jīng)紀(jì)人流動(dòng)問(wèn)題提供一個(gè)管理決策的依據(jù)。這對(duì)于我國(guó)證券經(jīng)紀(jì)人的穩(wěn)定健康發(fā)展來(lái)說(shuō)意義重大,因?yàn)樗粌H豐富和完善了我國(guó)證券經(jīng)紀(jì)人管理研究的理論,為后續(xù)的深入研究提供一個(gè)可供選擇的角度,而且通過(guò)模型計(jì)算得出的數(shù)據(jù),可以為管理者直接使用,并據(jù)此采取相應(yīng)的管理措施,從而為解決我國(guó)證券經(jīng)紀(jì)人頻繁、無(wú)序流動(dòng)問(wèn)題提供一個(gè)可以借鑒的定量方法。 本文從當(dāng)前我國(guó)證券經(jīng)紀(jì)人流動(dòng)的頻繁、無(wú)序問(wèn)題入手,結(jié)合對(duì)多家證券營(yíng)業(yè)廳進(jìn)行實(shí)地調(diào)研和廣泛的資料收集,通過(guò)將現(xiàn)代控制理論中的魯棒控制思想和動(dòng)態(tài)管理方法運(yùn)用到我國(guó)證券經(jīng)紀(jì)人流動(dòng)問(wèn)題的管理當(dāng)中,把研究對(duì)象劃分為傭金經(jīng)紀(jì)人、特種經(jīng)紀(jì)人和交易廳經(jīng)紀(jì)人三類(lèi),設(shè)定招聘率和離職率兩個(gè)狀態(tài)變量,并由此建立了基于動(dòng)態(tài)穩(wěn)定條件下的我國(guó)證券經(jīng)紀(jì)人流動(dòng)管理模型。通過(guò)模型的應(yīng)用和計(jì)算,分別得出了對(duì)于這三類(lèi)經(jīng)紀(jì)人的最優(yōu)招聘數(shù)據(jù)和離職數(shù)據(jù),并以得出的最優(yōu)數(shù)據(jù)為依據(jù),對(duì)我國(guó)證券經(jīng)紀(jì)人流動(dòng)問(wèn)題的管理提出了相應(yīng)的對(duì)策和建議。最后,通過(guò)利用調(diào)研數(shù)據(jù),對(duì)動(dòng)態(tài)穩(wěn)定模型進(jìn)行了驗(yàn)證,得出了該證券公司的三類(lèi)經(jīng)紀(jì)人是否達(dá)到動(dòng)態(tài)穩(wěn)定的結(jié)論,同時(shí)也給出了相應(yīng)的控制策略。 本文的創(chuàng)新之處在于： (1)本文應(yīng)用現(xiàn)代控制理論當(dāng)中的魯棒控制思想和動(dòng)態(tài)穩(wěn)定模型對(duì)我國(guó)證券經(jīng)紀(jì)人的流動(dòng)管理問(wèn)題進(jìn)行了研究,建立了我國(guó)證券經(jīng)紀(jì)人流動(dòng)的動(dòng)態(tài)穩(wěn)定模型,為我國(guó)證券經(jīng)紀(jì)人管理理論的進(jìn)一步研究提供了新視角。 (2)本文基于我國(guó)證券經(jīng)紀(jì)人流動(dòng)的動(dòng)態(tài)穩(wěn)定模型,在對(duì)我國(guó)證券經(jīng)紀(jì)人現(xiàn)狀分析和調(diào)研的基礎(chǔ)上,探尋出了管理我國(guó)證券經(jīng)紀(jì)人流動(dòng)頻繁、無(wú)序問(wèn)題的一種新方法。
[Abstract]:China's securities market has completed the development of developed countries' mature market for more than 20 years. The prosperity of the securities market has led to the rapid development of securities companies. This rapid development, not only the expansion of asset size and market share, but also the rapid growth of securities brokers, resulting in the frequent securities brokers in China. The problem of disorderly flow has become a bottleneck problem restricting the development of securities companies. Therefore, this paper attempts to establish the dynamic stability model of securities broker's flow management from the angle of quantitative analysis, and get the optimal data when the securities broker can reach the dynamic stable state through the calculation, and use this data to compare with the current data at the same time. The paper puts forward the countermeasures and suggestions for the management of securities brokers' mobility, and provides a basis for the management decision for solving the problem of securities brokers' mobility. This is of great significance to the stable and healthy development of securities brokers in China, because it not only enriches and perfects the theory of the management of securities brokers in our country, but also provides an alternative angle for further research. Moreover, the data calculated by the model can be directly used by managers, and corresponding management measures can be taken accordingly, thus providing a quantitative method that can be used for reference to solve the problem of frequent and disordered flow of securities brokers in China. This paper begins with the frequent and disordered flow of securities brokers in our country, and combines the field investigation and extensive data collection of many securities business offices. By applying the idea of robust control and dynamic management in modern control theory to the management of stock broker flow problem in our country, the research object is divided into three categories: commission broker, special broker and trader broker. Two state variables, recruitment rate and turnover rate, are set up, and a dynamic and stable model of Chinese securities broker flow management is established. Through the application and calculation of the model, the optimal recruitment data and the turnover data for these three kinds of brokers are obtained, and based on the optimal data, the corresponding countermeasures and suggestions are put forward for the management of the stock broker flow problem in China. Finally, the dynamic stability model is verified by using the research data, and the conclusion is drawn that whether the three kinds of brokers of the securities company can achieve dynamic stability, and the corresponding control strategies are also given. The innovations of this paper are as follows: (1) this paper applies the robust control theory and dynamic stability model in modern control theory to study the liquidity management of securities brokers in China. The dynamic stability model of securities broker flow in China is established, which provides a new perspective for further research on the theory of securities broker management in China. (2) based on the dynamic stability model of securities broker flow in China, this paper explores a new method to manage the frequent and disordered flow of securities broker in China on the basis of the analysis and investigation of the current situation of securities broker in China.
【學(xué)位授予單位】：太原理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：F272.92;F832.51

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 黃攸立;周琴;劉斌;;知識(shí)型企業(yè)人才隊(duì)伍不確定時(shí)滯系統(tǒng)保性能控制[J];北京郵電大學(xué)學(xué)報(bào)(社會(huì)科學(xué)版);2010年03期

2 汪秋菊;曲盛恩;;從公平理論看人才流動(dòng)[J];商業(yè)研究;2006年08期

3 王靜,盧震,黃小原,張偉;電子商務(wù)環(huán)境網(wǎng)絡(luò)營(yíng)銷(xiāo)系統(tǒng)牛鞭效應(yīng)的H_∞控制[J];東北大學(xué)學(xué)報(bào);2003年03期

4 黃攸立;彭海燕;;高科技企業(yè)知識(shí)員工動(dòng)態(tài)穩(wěn)定控制方法研究[J];管理學(xué)報(bào);2009年06期

5 黃家明,方衛(wèi)東;交易費(fèi)用理論:從科斯到威廉姆森[J];合肥工業(yè)大學(xué)學(xué)報(bào)(社會(huì)科學(xué)版);2000年01期

6 張生太,段興民;企業(yè)高級(jí)人才隊(duì)伍動(dòng)態(tài)穩(wěn)定模型及決策研究[J];管理科學(xué)學(xué)報(bào);2004年02期

7 夏功成;胡斌;張金隆;;基于定性模擬的員工離職行為預(yù)測(cè)[J];管理科學(xué)學(xué)報(bào);2006年04期

8 李云崢;中國(guó)證券交易傭金制度現(xiàn)狀及發(fā)展探析[J];經(jīng)濟(jì)師;2002年11期

9 譚清美;相對(duì)效用論與人才流動(dòng)[J];科技管理研究;2000年01期

10 楊葉,郇金寶;基于心理契約視角的人才流失風(fēng)險(xiǎn)規(guī)避[J];科學(xué)管理研究;2005年05期

相關(guān)碩士學(xué)位論文 前7條

1 邵佩東;我國(guó)證券經(jīng)紀(jì)人制度研究[D];暨南大學(xué);2000年

2 陳國(guó)輝;我國(guó)證券經(jīng)紀(jì)人制度研究[D];西安理工大學(xué);2002年

3 程悠;我國(guó)證券經(jīng)紀(jì)人制度發(fā)展研究[D];重慶大學(xué);2004年

4 劉珊珊;高新技術(shù)企業(yè)員工流動(dòng)管理研究[D];武漢理工大學(xué);2006年

5 牟賀;不確定時(shí)滯系統(tǒng)的魯棒控制[D];吉林大學(xué);2008年

6 宮有立;中國(guó)證券經(jīng)紀(jì)人監(jiān)管制度探析[D];吉林大學(xué);2009年

7 王代義;我國(guó)證券經(jīng)紀(jì)人隱性激勵(lì)制度研究[D];華中科技大學(xué);2009年

，

本文編號(hào)：2419861