关于国内中小型券商经营模式改革与探索的研究

发布时间：2018-02-25 07:27

本文关键词： 中小券商经营模式改革　出处：《天津大学》2013年硕士论文　论文类型：学位论文

【摘要】：今年是中央政府实施“十二·五规划”进程的中期阶段，中国的金融市场，特别是证券市场，在过去的几年里发生了巨大的变化。国内的金融监管机构陆续出台了多项利好政策来支持券商的改革与发展，在这个关键阶段，中小券商们急需将自身经营模式进行转型。目前，国内券商处在经济稳中放缓的大环境中。在这种环境下，中小券商的经纪业务已经不足以支撑其继续发展，面临着被大型券商兼并的命运，因此，急需对中小券商的经营活动进行模式上的改变。在现实中，其所面临的两个问题是基础较差和部分券商地域性过强，而其优势则是灵活性强、转型较快。在业务层次上，中小券商的经营模式改革一方面需要扩大业务范围，如增加IB业务、直投、新三板等项目，另一方面需要以客户为导向，，将各项主要业务综合统筹，实现资源共享。另外，人才的储备与培养也是券商成功发展的一项重要条件。而进行经营模式改革的基础是做好公司内部的风险管理与控制，第一是要做好企业内部的合规管理，增强员工的法律法规意识与自律性；第二是控制好公司的大宗交易与自营业务的风险。论文以上市公司东北证券为例，全面剖析了目前在中小券商之间普遍存在的一些具体问题，如固守原有模式、不求创新与发展；开源节流效果差；客户群体较小、基础薄弱；人才流失过快等等。同时，作者也针对上述问题提出了一些相应的解决方法。
[Abstract]:This is the middle stage of the central government to implement the "Twelve / five planning process, Chinese financial market, especially the stock market, great changes have taken place in the past few years. The reform and development of the domestic financial regulatory agencies have issued a number of favorable policies to support the brokerage, at this critical stage, the small and medium-sized firms they will need their own operating mode transformation.
At present, the domestic brokerage firm in the economic slowdown in the environment. In this environment, small and medium-sized securities brokerage business is not enough to support its continued development, is facing a large brokerage merger destiny, therefore, for small and medium-sized brokerage business activities are in urgent need of mode change. In reality, the two problems facing the poor foundation and part of the regional brokerage is too strong, and its advantage is flexibility, faster transformation. At the operational level, reform the management mode of small and medium sized firms on the one hand to expand the scope of business, such as the increase of IB services, direct investment, the new board and other projects, on the other hand to customer oriented. The comprehensive co-ordination of the main business, realize the sharing of resources. In addition, one of the important conditions of reserve personnel training and also brokers of successful development. The basis for the operation mode of the reform is to make risk management within the company And control, the first is to do well the compliance management within the enterprise, enhance staff's awareness of laws and regulations and self-discipline, and the second is to control the risk of the block trading and proprietary business of the company.
The Northeast securities listed company as an example, analyzes some specific problems in small and medium-sized brokerage firms, such as stick to the original model, not for innovation and development; to the poor effect of customer groups; small, weak foundation; talent loss too fast and so on. At the same time, the author also puts forward some corresponding solutions for the problems mentioned above.

【学位授予单位】：天津大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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