本文選題：投資顧問　切入點：經(jīng)營模式　出處：《山東大學(xué)》2013年碩士論文

【摘要】：2010年10月12日中國證券監(jiān)督管理委員會頒布了《證券投資顧問業(yè)務(wù)暫行規(guī)定》,確立了證券投資咨詢業(yè)務(wù)基本制度,新規(guī)定的頒布系統(tǒng)性的定義和規(guī)范了證券投資顧問業(yè)務(wù),更加注重于保護(hù)投資者利益。證券投資顧問業(yè)務(wù)誕生已久,但是此前一直定位模糊、管理混亂。1997年證券投資咨詢首次被納入監(jiān)管,證券公司和證券投資咨詢公司成為從事證券投資咨詢業(yè)務(wù)的兩類合法主體。隨著我國證券市場的發(fā)展,證券投資咨詢業(yè)務(wù)逐漸分化為兩類相互區(qū)別又相互聯(lián)系的形式,即證券投資顧問和證券研究報告。與此同時,傳統(tǒng)經(jīng)紀(jì)業(yè)務(wù)同質(zhì)化嚴(yán)重,證券市場趨向飽和,證券公司在激烈市場競爭下紛紛選擇轉(zhuǎn)型,大力發(fā)展非通道業(yè)務(wù),開拓證券投資顧問業(yè)務(wù)�！稌盒幸�(guī)定》的出臺從基本面上對證券投資咨詢業(yè)務(wù)進(jìn)行了規(guī)范,良好的市場秩序造就繁榮的市場交易,許多券商也開始規(guī)范公司內(nèi)部證券投資顧問業(yè)務(wù)模式。 本文首先對理論基礎(chǔ)和已有中外文獻(xiàn)研究進(jìn)行了概括介紹,簡單回顧了我國證券投資咨詢業(yè)務(wù)的發(fā)展歷程和現(xiàn)階段發(fā)展?fàn)顩r及存在問題。其次,對證券投資顧問業(yè)務(wù)的基礎(chǔ)理論進(jìn)行詳細(xì)論述,分析了證券投資顧問的內(nèi)涵、類型、價值、監(jiān)管、業(yè)務(wù)流程和項目規(guī)劃。根據(jù)《暫行規(guī)定》的內(nèi)容,本文認(rèn)為應(yīng)該將證券投資顧問業(yè)務(wù)監(jiān)督管理分為外部監(jiān)管和內(nèi)部行業(yè)自律,這兩個方面共同構(gòu)成證券投資顧問進(jìn)行項目規(guī)劃的約束條件,而業(yè)務(wù)流程的確立和規(guī)范又是在項目規(guī)劃這一宏觀層面之下的微觀具體實施,這三者存在漸進(jìn)的遞進(jìn)關(guān)系,而項目規(guī)劃又是具有承前啟后、提綱挈領(lǐng)的關(guān)鍵部分,因此本文將重點研究證券投資顧問業(yè)務(wù)的項目規(guī)劃領(lǐng)域。再次,簡述美國和英國券商財富管理模式及制度建設(shè),對比中國券商現(xiàn)階段開展投資顧問業(yè)務(wù)現(xiàn)成經(jīng)營模式,運(yùn)用對比論證,希望為中國公司提供借鑒。最后結(jié)合我國證券公司投資顧問業(yè)務(wù)現(xiàn)狀和發(fā)展趨向,在分析證券投資顧問業(yè)務(wù)項目規(guī)劃中各個模塊模式的基礎(chǔ)上,針對投資顧問業(yè)務(wù)在協(xié)調(diào)證券公司總部和營業(yè)部資源上時采取怎樣的投資顧問團(tuán)隊建設(shè)模式做了實證分析,最后綜合得出結(jié)論并提供了一些關(guān)于投資顧問業(yè)務(wù)各模塊經(jīng)營模式選擇的建議,為證券公司未來進(jìn)行投資顧問業(yè)務(wù)項目規(guī)劃提供一些有益的參考。
[Abstract]:On October 12, 2010, the China Securities Regulatory Commission promulgated the "interim regulations on Securities Investment Advisory Business", which established the basic system of securities investment consulting business.More focus on protecting the interests of investors.Securities investment advisory business has been born for a long time, but it has always been ambiguous and management confusion. In 1997, securities investment consulting was first brought into supervision, and securities companies and securities investment consulting firms became two kinds of legal subjects engaged in securities investment consulting business.With the development of China's securities market, the securities investment consulting business is gradually divided into two different and interrelated forms, namely, securities investment advisers and securities research reports.At the same time, the traditional brokerage business is becoming more homogeneous and the securities market tends to be saturated. Under the fierce market competition, securities companies have chosen to transform and vigorously develop non-channel business.The introduction of the "interim provisions" has standardized the securities investment consulting business from a fundamental point of view, and the good market order has created a prosperous market transaction.Many securities firms also began to standardize the company's internal securities investment advisory business model.In this paper, the theoretical basis and the existing literature are introduced, and the development of securities investment consulting business in China is briefly reviewed, as well as the current development situation and existing problems.Secondly, the basic theory of securities investment advisory business is discussed in detail, and the connotation, type, value, supervision, business process and project planning of securities investment adviser are analyzed.According to the content of "interim regulations", this paper holds that the supervision and management of securities investment advisory business should be divided into external supervision and internal industry self-discipline, which together constitute the constraint conditions for securities investment advisers to carry out project planning.The establishment and standardization of business process is the microcosmic concrete implementation under the macro level of project planning. These three have progressive and progressive relations, and project planning is a key part with a link between the past and the future.Therefore, this paper will focus on the project planning area of securities investment advisory business.Thirdly, this paper briefly introduces the wealth management mode and system construction of American and British securities firms, compares the ready-made management mode of investment advisory business between Chinese securities firms at the present stage, and uses comparative demonstration to provide reference for Chinese companies.Finally, according to the current situation and development trend of investment advisory business of securities companies in China, the paper analyzes the models of each module in the project planning of securities investment consultant business.This paper makes an empirical analysis of the investment advisory team building model used in the coordination of the resources of the headquarters and the business department of the securities company.Finally, the conclusion is drawn and some suggestions are provided on the choice of business model of investment advisory business, which provides some useful reference for the future investment advisory business project planning of securities companies.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：F832.5

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