本文選題：證券公司 + 經(jīng)紀(jì)業(yè)務(wù)�。� 參考：《河南工業(yè)大學(xué)》2017年碩士論文

【摘要】：資本市場是實(shí)施國家重要發(fā)展戰(zhàn)略的重要組成部分,是推進(jìn)改革開放和國家經(jīng)濟(jì)社會(huì)發(fā)展的重要力量。伴隨著證券市場的日益成熟,浮動(dòng)傭金制度的實(shí)施,加之業(yè)務(wù)多元化、互聯(lián)網(wǎng)金融、外資證券公司“入侵”以及銀行推出各種理財(cái)產(chǎn)品的出現(xiàn)等。券商間基于傭金戰(zhàn)的競爭日益加劇,證券公司經(jīng)紀(jì)業(yè)務(wù)面臨著前所未有的競爭壓力,升級轉(zhuǎn)型迫在眉睫。開展經(jīng)紀(jì)業(yè)務(wù)創(chuàng)新,可以為客戶提供多元化的產(chǎn)品和高質(zhì)量的服務(wù),同時(shí)能夠提升證券公司自身的競爭力,從而促進(jìn)資本市場健康的發(fā)展。華安證券股份有限公司(下稱“華安證券”)是一家伴隨著我國資本市場的發(fā)展逐漸成長起來的券商,由中國證監(jiān)會(huì)核準(zhǔn)于2000年12月28日注冊成立。經(jīng)過十多年的穩(wěn)健經(jīng)營和創(chuàng)新發(fā)展,已經(jīng)成為了國內(nèi)具有一定業(yè)務(wù)規(guī)模和競爭優(yōu)勢的綜合性證券公司。本文運(yùn)用證券市場管理和企業(yè)競爭戰(zhàn)略的相關(guān)理論,結(jié)合華安證券鄭州經(jīng)紀(jì)業(yè)務(wù)的實(shí)際情況,深入分析了華安證券鄭州經(jīng)紀(jì)業(yè)務(wù)的自身優(yōu)勢和收入變化情況,利用相關(guān)的數(shù)據(jù)和資料做出了客觀具體的評價(jià)。在此基礎(chǔ)上,從傭金率的競爭、交易環(huán)境競爭、信息服務(wù)競爭、潛入者的競爭四個(gè)方面分析了華安證券鄭州經(jīng)紀(jì)業(yè)務(wù)的市場競爭情況,并討論了創(chuàng)新轉(zhuǎn)型對未來公司經(jīng)紀(jì)業(yè)務(wù)發(fā)展的可行性和必要性。最后,提出了華安證券鄭州經(jīng)紀(jì)業(yè)務(wù)轉(zhuǎn)型創(chuàng)新的策略,即要通過完善客戶服務(wù)機(jī)制以達(dá)成投資顧問隊(duì)伍的建立和培養(yǎng)、推進(jìn)營業(yè)部高凈值客戶的服務(wù)和開發(fā)工作并加強(qiáng)客戶傭金管理、實(shí)現(xiàn)盈利模式多元化路徑和“走出去”拓展客戶資源,大力推進(jìn)經(jīng)濟(jì)業(yè)務(wù)的轉(zhuǎn)型發(fā)展。經(jīng)過研究認(rèn)為:伴隨著中國經(jīng)濟(jì)發(fā)展進(jìn)入新常態(tài),資本市場的競爭日益激烈,證券市場經(jīng)濟(jì)業(yè)務(wù)的開展必須因勢而謀、應(yīng)勢而動(dòng)、順勢而為,積極推進(jìn)團(tuán)隊(duì)建設(shè)、盈利模式、營銷手段的創(chuàng)新,不斷滿足客戶全方位的服務(wù)需求。華安證券鄭州經(jīng)濟(jì)業(yè)務(wù)具有極強(qiáng)的代表性,對其業(yè)務(wù)競爭戰(zhàn)略進(jìn)行研究,對行業(yè)其他公司和金融機(jī)構(gòu)經(jīng)紀(jì)業(yè)務(wù)的創(chuàng)新和轉(zhuǎn)型發(fā)展提供寶貴的經(jīng)驗(yàn)和現(xiàn)實(shí)案例。
[Abstract]:The capital market is an important part of implementing the important national development strategy and an important force to promote the reform and opening up and the national economic and social development. With the maturity of the securities market, the implementation of the floating commission system, the diversification of business, Internet finance, the "invasion" of foreign securities companies and the emergence of various financial products launched by banks, etc. The competition between securities firms based on commission war is intensifying day by day. The brokerage business of securities companies is facing unprecedented competitive pressure, so it is urgent to upgrade and transform. The innovation of brokerage business can provide customers with diversified products and high quality services. At the same time, it can enhance the competitiveness of securities companies and promote the healthy development of capital market. Hua'an Securities Co., Ltd. (hereinafter referred to as "Hua'an Securities") is a securities company which is gradually growing up with the development of China's capital market. It was approved by China Securities Regulatory Commission (CSRC) and established on December 28, 2000. After more than ten years of steady operation and innovative development, it has become a comprehensive securities company with certain business scale and competitive advantage. Based on the relevant theories of securities market management and enterprise competitive strategy and the actual situation of Zhengzhou brokerage business of Hua'an Securities, this paper deeply analyzes the advantages and changes of income of Zhengzhou brokerage business in Hua'an Securities. Using relevant data and materials to make an objective and specific evaluation. On this basis, from four aspects of commission rate competition, trading environment competition, information service competition and sneaking competition, this paper analyzes the market competition situation of the brokerage business of Hua'an Securities Zhengzhou. It also discusses the feasibility and necessity of innovation transformation to the development of brokerage business in the future. Finally, the paper puts forward the strategy of transforming and innovating the brokerage business in Zhengzhou, that is, to establish and train the investment advisory team by perfecting the customer service mechanism. To promote the service and development of high net worth customers in business department, to strengthen the management of customer commission, to realize the diversification of profit mode and to expand customer resources, and to promote the transformation and development of economic business. With the development of Chinese economy entering the new normal, the competition of capital market is becoming more and more fierce. The development of securities market economy must be driven by the situation, should be moved by the situation, conform to the trend, and actively promote the team building and profit model. The innovation of marketing means, constantly meet the customer's all-round service demand. Zhengzhou economic business of Hua'an Securities has strong representativeness. This paper studies its business competition strategy and provides valuable experience and practical cases for the innovation and transformation of brokerage business of other companies and financial institutions in the industry.
【學(xué)位授予單位】：河南工業(yè)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.51

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