A证券公司经纪业务创新研究

发布时间：2018-03-30 21:33

本文选题：A证券公司　切入点：经纪业务　出处：《郑州大学》2013年硕士论文

【摘要】：经纪业务是证券公司所有业务中最为重要的组成部分,对于证券公司的发展有着无法替代的作用。当前佣金自由化、证券监管放松、新业务推陈出新,对证券公司提出了新挑战,必然加剧证券行业的竞争。这种形势下,A证券公司和其他公司都需要通过创新推动业务发展,加强自身核心竞争力。因此,研究证券公司的经纪业务创新具有十分重要的意义。本文试图以A证券公司经纪业务创新为研究对象,运用文献分析法、规范·性理论分析法、调查研究法、比较研究法等方法,在分析经纪业务构成及特点、A公司面临的宏观环境、行业竞争的基础上,结合国内外证券市场经纪业务发展启示,探寻A证券公司经纪业务创新的基本策略和具体措施。首先,本文阐述和分析A证券公司面临的宏观环境、行业竞争及自身经纪业务发展现状,总结美国、香港证券市场先进经验,在对经纪业务总体认识的基础上,为创新提供背景和方向。紧接着,本文结合以上分析,系统论述进行经纪业务创新的四大动因：证券公司自身的驱利动因、政府和监管层面推进、证券市场发展需要及信息技术推动；并围绕着产品、技术、组织、管理四大方面的创新,有针对性地提出经纪业务创新策略。其中金融产品创新是经纪业务创新的核心和基础,技术创新是其他方面创新的物质基础,而公司内部同时又会涉及公司整体组织结构的变革、管理模式的革新。A公司在进行经纪业务创新时,需要综合、灵活运用以上四个方面的创新策略。最后,本文依据创新策略,对创新策略得以有效实现的具体实际措施进行了详细论述,提出了客户细分、目标市场细分、优化金融产品结构及定价方式、整合多元化渠道及建立集约型管理模式等具体措施。同时,为了保障创新最终效果,在创新过程中应关注并合理处理创新的差异性与统一性的关系、创新效率与风险管理的关系。
[Abstract]:Brokerage business is the most important part of all the business of securities companies, and has an irreplaceable role for the development of securities companies. The new challenge to the securities companies will inevitably intensify the competition in the securities industry. In this situation, both the A Securities Company and other companies need to promote business development through innovation and strengthen their core competitiveness. It is of great significance to study the innovation of brokerage business of securities companies. This paper attempts to take the brokerage business innovation of A securities company as the research object, using the methods of literature analysis, normative theory analysis, investigation and research, comparative research, etc. On the basis of analyzing the composition and characteristics of brokerage business and the macro environment and industry competition faced by Company A, combined with the inspiration of the development of brokerage business in domestic and foreign securities markets, this paper explores the basic strategies and concrete measures for the innovation of brokerage business of A Securities Company. This paper expounds and analyzes the macro environment, industry competition and present situation of brokerage business faced by A Securities Company, summarizes the advanced experience of the securities market in the United States and Hong Kong, and on the basis of the general understanding of the brokerage business, Then, combining the above analysis, this paper systematically discusses the four motivations of brokerage business innovation: the driving agent of securities companies, the government and regulatory level to promote, The development needs of the securities market and the promotion of information technology, and focusing on the innovation of product, technology, organization and management, the innovative strategy of brokerage business is put forward, and the innovation of financial products is the core and foundation of the innovation of brokerage business, among which the innovation of financial products is the core and foundation of the innovation of brokerage business. Technological innovation is the material basis of innovation in other aspects, and the internal organization of the company will also involve the transformation of the overall organizational structure of the company. The innovation of management mode .A company needs to be integrated in the innovation of brokerage business. Finally, according to the innovation strategy, this paper discusses in detail the practical measures to effectively realize the innovation strategy, and puts forward customer segmentation, target market segmentation, Optimize the structure of financial products and pricing methods, integrate diversified channels and establish intensive management model and other specific measures. At the same time, in order to ensure the ultimate effect of innovation, In the process of innovation, we should pay attention to and deal with the relationship between the difference and unity of innovation and the relationship between innovation efficiency and risk management.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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