本文選題：投資顧問(wèn) + 證券行業(yè)　； 參考：《安徽財(cái)經(jīng)大學(xué)》2017年碩士論文

【摘要】：我國(guó)證券市場(chǎng)雖然起步較晚,但是經(jīng)過(guò)多年的發(fā)展,市場(chǎng)規(guī)模不斷擴(kuò)大,市場(chǎng)深度和廣度得到不斷的拓展。隨著我國(guó)金融體制改革的深化和對(duì)外開(kāi)放步伐的加快,大力發(fā)展證券投資顧問(wèn)業(yè)務(wù),擺脫同質(zhì)化競(jìng)爭(zhēng),成為證券行業(yè)的共識(shí)。在這種情況下,證券公司需要根據(jù)環(huán)境的變化,尋求投資顧問(wèn)業(yè)務(wù)發(fā)展的方向和思路。投資顧問(wèn)業(yè)務(wù)的創(chuàng)新發(fā)展對(duì)證券公司未來(lái)的經(jīng)營(yíng)具有至關(guān)重要的作用。本文以HA證券為例,對(duì)證券公司投資顧問(wèn)業(yè)務(wù)進(jìn)行研究。在對(duì)現(xiàn)狀進(jìn)行分析研究的基礎(chǔ)上,針對(duì)開(kāi)展過(guò)程中找出可能存在的問(wèn)題,提出優(yōu)化對(duì)策。本文的第一部分首先提出研究背景及意義,闡述了我國(guó)證券行業(yè)和投資顧問(wèn)業(yè)務(wù)的發(fā)展情況,投資顧問(wèn)業(yè)務(wù)對(duì)證券行業(yè)發(fā)展的作用。其次,介紹了文章的內(nèi)容安排,框架結(jié)構(gòu),研究方法,創(chuàng)新與不足。第二部分是基本理論和相關(guān)理論對(duì)投顧業(yè)務(wù)的支撐,該部分主要介紹了投資顧問(wèn)涉及的基本原理“委托代理理論”“信息不對(duì)稱理論”“顧客細(xì)分理論”“投資組合理論”“風(fēng)險(xiǎn)管理”。第三部分是國(guó)內(nèi)外投資顧問(wèn)業(yè)務(wù)開(kāi)展與經(jīng)驗(yàn)啟示,該部分對(duì)國(guó)內(nèi)外投資顧問(wèn)業(yè)務(wù)的發(fā)展進(jìn)行回顧,通過(guò)國(guó)內(nèi)外券商投資顧問(wèn)業(yè)務(wù)的比較,得出經(jīng)驗(yàn)啟示。第四部分對(duì)HA證券投資顧問(wèn)業(yè)務(wù)的現(xiàn)狀進(jìn)行研究,運(yùn)用SWOT分析法進(jìn)行分析,找出存在的問(wèn)題。首先從業(yè)務(wù)基本情況,人員與客戶、流程、收入構(gòu)成和經(jīng)營(yíng)業(yè)績(jī)五個(gè)方面進(jìn)行現(xiàn)狀研究,然后通過(guò)SWOT分析了HA證券投資顧問(wèn)業(yè)務(wù)的內(nèi)部?jī)?yōu)勢(shì)、內(nèi)部劣勢(shì)、外部機(jī)遇和外部威脅,在分析外部威脅的方面還運(yùn)用到了波特五力模型,之后找出公司投顧業(yè)務(wù)存在的問(wèn)題,包括產(chǎn)品同質(zhì)化、人員儲(chǔ)備不足、信息系統(tǒng)落后、收入模塊較少、前沿科技應(yīng)用不足。第五部分針對(duì)HA證券投資顧問(wèn)業(yè)務(wù)提出優(yōu)化方案和保障措施,優(yōu)化方案包括開(kāi)發(fā)有針對(duì)性的產(chǎn)品、組建專業(yè)的投資顧問(wèn)人才隊(duì)伍、加強(qiáng)信息系統(tǒng)建設(shè)、豐富投資顧問(wèn)收入來(lái)源、嘗試新科技在投資顧問(wèn)業(yè)務(wù)中的應(yīng)用。保障措施包括加強(qiáng)品牌建設(shè)與推廣、優(yōu)化風(fēng)險(xiǎn)控制與合規(guī)管理、增加與互聯(lián)網(wǎng)科技企業(yè)合作。第六部分總結(jié)全文,得出結(jié)論。
[Abstract]:Although the stock market of our country starts relatively late, after many years' development, the scale of the market continues to expand, and the depth and breadth of the market are constantly expanded. With the deepening of China's financial system reform and the quickening of the pace of opening to the outside world, it has become the consensus of the securities industry to develop the securities investment advisory business vigorously and get rid of the homogeneous competition. In this case, securities companies need to seek the direction and thinking of investment advisory business development according to the change of environment. The innovation and development of investment advisory business plays an important role in the future management of securities companies. This paper takes HA Securities as an example to study the investment advisory business of securities companies. Based on the analysis and study of the present situation, the possible problems in the process of development are found out and the optimization countermeasures are put forward. The first part of this paper first puts forward the background and significance of the research, expounds the development of the securities industry and investment advisory business in China, and the role of investment advisory business in the development of the securities industry. Secondly, it introduces the content arrangement, frame structure, research method, innovation and deficiency of the article. The second part is the basic theory and related theories to support the business. This part mainly introduces the basic principle of investment consultant "principal-agent theory", "information asymmetry theory", "customer segmentation theory", "portfolio theory" and "risk management". The third part is the domestic and foreign investment advisory business development and experience enlightenment, this part reviews the domestic and foreign investment advisory business development, through the domestic and foreign securities firm investment advisory business comparison, obtains the experience enlightenment. In the fourth part, the present situation of HA securities investment advisory business is studied, and SWOT analysis is used to find out the existing problems. Firstly, the present situation is studied from five aspects: basic business situation, personnel and customer, process, income composition and operating performance. Then, through SWOT analysis, the internal advantages, internal disadvantages, external opportunities and external threats of HA securities investment advisory business are analyzed. In the analysis of external threats, it also applies the Porter five Force Model, and then finds out the problems existing in the company's business, including product homogeneity, insufficient personnel reserve, backward information system, less revenue modules, and insufficient application of frontier science and technology. The fifth part puts forward the optimization scheme and safeguard measures for HA securities investment advisory business. The optimization scheme includes developing targeted products, setting up a team of professional investment advisers, strengthening the construction of information system, and enriching the income sources of investment advisers. Try out the application of new technology in investment advisory business. Security measures include strengthening brand building and promotion, optimizing risk control and compliance management, and increasing cooperation with Internet technology enterprises. The sixth part summarizes the full text and draws a conclusion.
【學(xué)位授予單位】：安徽財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.39

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