本文選題：證券經(jīng)紀(jì)人 + 產(chǎn)權(quán)理論��； 參考：《湘潭大學(xué)》2013年碩士論文

【摘要】：從證券經(jīng)紀(jì)人發(fā)展歷程和法規(guī)制度演變來看，無論是法規(guī)制度制定還是管理制度模式，要看到當(dāng)前中國證券經(jīng)紀(jì)人從其誕生之初就具有與經(jīng)紀(jì)人本身含義相背離的制度設(shè)計(jì)誤區(qū)。中國的證券經(jīng)紀(jì)人執(zhí)業(yè)的低端化、無序化形態(tài)是其營銷身份而非中介身份的尷尬表現(xiàn)。 本文以全國知名券商HT證券為研究對(duì)象，從公司成長歷程、經(jīng)紀(jì)業(yè)務(wù)發(fā)展?fàn)顩r和現(xiàn)有的經(jīng)紀(jì)人管理結(jié)構(gòu)入手，探討我國證券行業(yè)經(jīng)紀(jì)人管理的相關(guān)問題和困境。通過對(duì)HT證券全國范圍內(nèi)的證券經(jīng)紀(jì)人調(diào)研走訪過程，從證券經(jīng)紀(jì)管理人員和證券經(jīng)紀(jì)從業(yè)人員兩方面的面談采訪和數(shù)據(jù)搜集分析，解構(gòu)了當(dāng)前證券經(jīng)紀(jì)人發(fā)展困局和癥結(jié)：不清晰的產(chǎn)權(quán)配屬關(guān)系，導(dǎo)致證券經(jīng)紀(jì)人與券商利益相偏離。 從產(chǎn)權(quán)結(jié)構(gòu)入手，將證券經(jīng)紀(jì)人管理實(shí)踐與產(chǎn)權(quán)理論模型進(jìn)行有效結(jié)合，分析當(dāng)前中國券商和經(jīng)紀(jì)人的產(chǎn)權(quán)利益關(guān)系，提出將證券經(jīng)紀(jì)業(yè)務(wù)的產(chǎn)權(quán)分析角度由傳統(tǒng)的經(jīng)紀(jì)人與客戶關(guān)系轉(zhuǎn)變?yōu)榻?jīng)紀(jì)人與券商關(guān)系，并將客戶資源視為產(chǎn)權(quán)歸屬資源。處理經(jīng)紀(jì)人與券商在客戶資源上的產(chǎn)權(quán)歸屬矛盾是解決當(dāng)前證券經(jīng)紀(jì)人管理的要害。在此理論分析基礎(chǔ)上，提出構(gòu)建HT證券經(jīng)紀(jì)人綜合管理平臺(tái)，在將組織結(jié)構(gòu)逐漸扁平化過程中，，依靠建立的雙層合同體系，將客戶資源產(chǎn)權(quán)內(nèi)部私有化。最后，從法規(guī)制度、政策扶持、人力資源、信息系統(tǒng)四個(gè)方面提出相應(yīng)的保障措施。
[Abstract]:From the perspective of the development of securities brokers and the evolution of laws and regulations, whether it is the establishment of laws and regulations or the mode of management system, It is necessary to see that the Chinese stockbrokers have misunderstandings in system design from the beginning of their birth, which deviate from the implication of the brokers themselves. The low-end practice and disorderly form of securities brokers in China are the embarrassment of their marketing identity rather than intermediary identity. This paper takes HT Securities as the research object, starting with the growth course of the company, the development of brokerage business and the existing management structure of brokers, discusses the related problems and difficulties of broker management in China's securities industry. Through the investigation and visit process of the securities brokers in the whole country of HT Securities, interviews and data collection and analysis are conducted from the two aspects of securities brokerage managers and securities brokerage practitioners. It deconstructs the current difficulties and the crux of the development of securities brokers: the unclear relationship between property rights and property rights leads to the deviation between the interests of securities brokers and securities dealers. Starting with the structure of property right, this paper combines the management practice of securities broker with the theoretical model of property right effectively, and analyzes the relationship between property right interests of securities dealers and brokers in China at present. It is proposed that the traditional relationship between broker and customer should be changed into the relationship between broker and broker, and that the customer resources should be regarded as the ownership resource of property right. It is the key to solve the problem of securities broker management to deal with the contradiction of ownership between broker and broker in customer resources. On the basis of this theoretical analysis, it is proposed to construct a comprehensive management platform for HT securities brokers. In the process of flattening the organizational structure gradually, the internal privatization of customer resource property rights depends on the bilevel contract system established. Finally, from the legal system, policy support, human resources, information system four aspects of the corresponding safeguards.
【學(xué)位授予單位】：湘潭大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：F272.92;F832.51

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