证券业基层经营单元重大不可预知性危机应对策略

发布时间：2018-01-22 02:06

本文关键词： 危机危机管理证券业基层经营单元不可预知性　出处：《电子科技大学》2013年硕士论文　论文类型：学位论文

【摘要】：自党的十四大确立市场经济目标以来，中国企业家创造了惊人的业绩，但随着内外部环境的变化各种危机事件也不断涌现，进行危机管理是中国所有企业尤其是随着资本市场活跃而日益受到关注的证券业面前的重大问题。本文从证券经营机构最基层的单位——营业部入手，通过案例分析的方式，研究当前环境下证券营业部的危机管理，对整个证券业的健康发展具有十分重要的现实意义。本文首先梳理了证券业“不可预知性”危机主要来源、类型和危机管理的基本理念、原则，分析了证券业危机的主要形式及对危机进行了分级，初步形成了证券业危机管理的基本原则、通用应对策略和通用流程，并认为当前我国证券业危机呈现多发性、专业聚焦性的特征，但是在危机管理上对媒体的应对不够、危机修复重视不够，证券经营机构更注重业务经营绩效、信息不对称致防范意识不足，，缺乏危机事件的处理手段和经验，缺乏建立长期危机管理运行机制的意识，往往停留在文件上，定期的演练和持续改进做得不够。进而，本文以福莱灵克公司的“黄金法则”为指导，以案例分析的形式来阐释行业基层经营单元应该如何进行危机管理及策略设计，即解决上文中提到的问题。分析的“不可预知性”危机案例包括：以自然灾害为主的“5.12特大地震”中M营业部应对策略、人为疏忽导致的“火灾”事故中D营业部和电力中断的W营业部的应对策略、被黑客攻击可能导致客户投诉及投资安全的H营业部及应对媒体的天涯论坛事件应对策略等，通过详细分析这些案例及应对策略得出证券业危机的主要共性特征和应对证券业危机管理的必备要素（共性特征），即要抓好源头管理、持续抓好危情梳理和排查、要建立危机处置的预案、要抓好危机处置的操作演练、要加强对员工进行危机教育、要建立与新闻媒体部门的联络与沟通长效机制、要与当地派出所和维稳办沟通联系、要加强本单位内部资料的管理。在第三章的基础上，第四章的重点是设计应急策略，即以“不可预知性”为侧重点，进一步深入分析证券行业基层经营单元危机管理体系各分支设计重点，包括预防战略体系、管理应对体系、管理恢复体系等，形成了包括火灾事故应急处理策略、洪涝灾害应急处理策略、地震应急处理策略、群体性突发事件应急处理策略、人为破坏和恐怖袭击应急处理策略及重大伤亡事故应急处理策略等证券业可能主要面临的危机处理策略，基本构建了一套有较强实用价值的证券基层经营单元“不可预知性危机应急预案”，完成了本文的初衷。总体上，本文以现存的证券业危机管理的问题为突破口，通过多个案例分析的形式，总结成功危机管理的共性特征，最终形成了一套包括多种危机的有较强实用价值的证券基层经营单元“不可预知性危机应急预案”的基本策略。
[Abstract]:Since the 14th National Congress of the Communist Party of China established the goal of market economy, Chinese entrepreneurs have created amazing achievements, but with the changes of internal and external environment, a variety of crisis events have been emerging. Crisis management is an important problem for all Chinese enterprises, especially for the securities industry, which has been paid more and more attention with the active capital market. This paper starts with the business department, which is the most basic unit of the securities management institutions. It is of great practical significance for the healthy development of the whole securities industry to study the crisis management of the securities business department in the current environment through the way of case study. This article first combs the securities industry "unpredictable" crisis main source, the type and the crisis management basic idea, the principle, has analyzed the securities industry crisis main form and has carried on the classification to the crisis. It has formed the basic principles of securities industry crisis management, general coping strategy and general process, and thinks that the current securities industry crisis in our country presents the characteristics of multiple, professional focus. However, in crisis management, the media is not enough, crisis repair is not enough, securities management institutions pay more attention to business performance, information asymmetry leads to inadequate awareness of prevention, lack of means and experience to deal with crisis events. Lack of awareness to establish a long-term crisis management operating mechanism, often stay on the document, regular exercises and continuous improvement is not enough. Furthermore, under the guidance of "Golden Rule" of Flailink Company, this paper explains how to carry out crisis management and strategy design in the basic management unit of the industry in the form of case study. That is to solve the problem mentioned above. The analysis of the "unpredictable" crisis cases include: "5.12 earthquake mainly natural disasters" M business department response strategy. The countermeasures of "fire" accident caused by human negligence in D business department and W business department where power is interrupted. By the hacker attack may lead to customer complaints and investment security H business and response to media Tianya Forum incident response strategy. Through the detailed analysis of these cases and countermeasures, the main common characteristics of the securities industry crisis and the necessary elements to deal with the securities industry crisis management (common characteristics, that is to do a good job of source management) are obtained. We should continue to do a good job in combing and investigating the crisis situation, establishing the crisis handling plan, doing a good job in the operation exercise of the crisis disposal, strengthening the crisis education to the staff, and establishing a long-term mechanism of liaison and communication with the news media department. To communicate with the local police station and maintenance office, to strengthen the unit's internal information management. On the basis of the third chapter, chapter 4th focuses on the design of emergency strategy, that is, "unpredictable" as the focus, further in-depth analysis of the securities industry grass-roots management unit crisis management system design focus. Including the prevention strategy system, the management response system, the management recovery system and so on, has formed including the fire accident emergency treatment strategy, the flood disaster emergency treatment strategy, the earthquake emergency treatment strategy. The crisis management strategy that the securities industry may be faced with, such as group emergency response strategy, artificial destruction and terrorist attack emergency response strategy and heavy casualty accident emergency management strategy and so on. A set of "unpredictable crisis contingency plan", which has strong practical value, has been constructed, and the original intention of this paper has been completed. As a whole, this paper summarizes the common characteristics of successful crisis management through the analysis of many cases, taking the existing problems of crisis management in the securities industry as a breakthrough. Finally, a set of basic strategies of "unpredictable crisis contingency plan", which has strong practical value, has been formed, which includes many kinds of crises.
【学位授予单位】：电子科技大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.51

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