【摘要】：一直以來，中國(guó)證券公司都是以經(jīng)紀(jì)業(yè)務(wù)作為支柱業(yè)務(wù)，經(jīng)紀(jì)業(yè)務(wù)也為證券公司創(chuàng)造了豐厚的利潤(rùn)。然而，近幾年情況卻不容樂觀，國(guó)內(nèi)券商紛紛展開了“傭金大戰(zhàn)”，傭金率陷入了一降再降的惡性循環(huán)之中，而目前國(guó)內(nèi)的證券公司業(yè)務(wù)種類單一且同質(zhì)化現(xiàn)象嚴(yán)重，經(jīng)紀(jì)業(yè)務(wù)的利潤(rùn)空間被大幅度壓縮，傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)的發(fā)展遭遇瓶頸，證券公司的發(fā)展面臨嚴(yán)峻的考驗(yàn)。由此可見，必須要對(duì)證券公司經(jīng)紀(jì)業(yè)務(wù)模式進(jìn)行轉(zhuǎn)型、創(chuàng)新才能使經(jīng)紀(jì)業(yè)務(wù)得到長(zhǎng)足發(fā)展，證券公司才能在今后的發(fā)展中立于不敗之地。而我們可以看到，證券公司的經(jīng)營(yíng)模式由“坐商”向“行商”,再向服務(wù)提供者發(fā)展，這種轉(zhuǎn)變是該行業(yè)所無法回避的。目前，國(guó)內(nèi)許多證券公司都在積極嘗試轉(zhuǎn)型，努力尋找適合自己的新的經(jīng)紀(jì)業(yè)務(wù)發(fā)展路徑，，但效果并非盡如人意。因此，本文希望借助廣發(fā)證券這一典型案例，結(jié)合國(guó)內(nèi)經(jīng)濟(jì)環(huán)境及行業(yè)環(huán)境，總結(jié)其在轉(zhuǎn)型過程中的經(jīng)驗(yàn)及問題，同時(shí)綜合公司的自身情況，提出行之有效的完善策略，從而也作為行業(yè)其它券商轉(zhuǎn)型的借鑒范本。 本文首先分析了我國(guó)證券經(jīng)紀(jì)業(yè)務(wù)傭金率下降、同行業(yè)競(jìng)爭(zhēng)加劇以及利潤(rùn)下滑等問題，同時(shí)綜合中國(guó)當(dāng)前的經(jīng)濟(jì)與證券行業(yè)發(fā)展趨勢(shì)以及廣發(fā)證券自身優(yōu)勢(shì)，總結(jié)出推動(dòng)廣發(fā)證券經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型的因素。而后，本文從客戶關(guān)系管理、客戶分級(jí)、客戶服務(wù)流程、員工培訓(xùn)等方面介紹了廣發(fā)證券經(jīng)紀(jì)業(yè)務(wù)的轉(zhuǎn)型實(shí)踐內(nèi)容，在此基礎(chǔ)上從品牌建立、市場(chǎng)份額、人才隊(duì)伍、業(yè)務(wù)及收入結(jié)構(gòu)方面對(duì)其轉(zhuǎn)型成效進(jìn)行了評(píng)價(jià)。通過以上分析，本文提出了廣發(fā)證券經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型在客戶服務(wù)、資產(chǎn)管理業(yè)務(wù)開展、營(yíng)業(yè)網(wǎng)點(diǎn)建設(shè)、同業(yè)合作、風(fēng)險(xiǎn)控制等方面存在的問題。針對(duì)這些問題，本文提出包括加強(qiáng)客戶管理、加大投研力度、建設(shè)專業(yè)人才團(tuán)隊(duì)、推進(jìn)創(chuàng)新業(yè)務(wù)、加強(qiáng)同業(yè)合作、建設(shè)新型營(yíng)業(yè)部管理模式、加強(qiáng)與轉(zhuǎn)型相關(guān)的風(fēng)險(xiǎn)管理等一系列改進(jìn)策略，為廣泛證券經(jīng)紀(jì)業(yè)務(wù)的進(jìn)一步轉(zhuǎn)型提供意見和建議。
[Abstract]:All along, Chinese securities companies have been based on brokerage business, and brokerage business has created huge profits for securities companies. However, in recent years, the situation is not optimistic. Domestic securities firms have launched a "commission war" one after another, and the commission rate has fallen into a vicious circle of decline and decline. At present, the domestic securities companies have a single business category and a serious phenomenon of homogenization. The profit space of brokerage business is greatly compressed, the development of traditional brokerage business encounters bottleneck, and the development of securities companies faces a severe test. From this we can see that we must transform the brokerage business mode of the securities company, innovate to make the brokerage business develop rapidly, and the securities company can be in an invincible position in the future development. We can see that the business model of securities companies from "sitting business" to "merchants", and then to the development of service providers, this change is the industry can not avoid. At present, many domestic securities companies are actively trying to transform, trying to find their own new brokerage business development path, but the effect is not satisfactory. Therefore, this article hopes to use Guangfa Securities this typical case, unifies the domestic economic environment and the profession environment, summarizes its experience and the question in the transformation process, at the same time synthesizes the company's own situation, proposes the effective consummation strategy. Thus also serves as the industry other securities firms transformation reference model. This paper first analyzes the decline of commission rate in China's securities brokerage business, the intensification of competition in the same industry and the decline of profits, and at the same time synthesizes the current development trend of China's economy and securities industry as well as Guangfa Securities's own advantages. Summed up to promote Guangfa Securities brokerage business transformation factors. Then, from the aspects of customer relationship management, customer classification, customer service process, employee training, this paper introduces the transformation practice content of Guangfa Securities's brokerage business, and on this basis, from the brand establishment, market share, talent team, etc. In terms of business and revenue structure, the effectiveness of its transformation was evaluated. Through the above analysis, this paper puts forward the problems existing in the transformation of Guangfa Securities's brokerage business in the aspects of customer service, asset management business development, business network construction, interbank cooperation, risk control, and so on. In view of these problems, this paper proposes to strengthen customer management, increase investment and research, build a team of professionals, promote innovative business, strengthen industry cooperation, and build a new management model of business department. Strengthen the risk management related to the transformation and a series of improvement strategies to provide advice and suggestions for the further transformation of a wide range of securities brokerage business.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.39

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