华龙证券经纪业务创新研究

发布时间：2018-05-01 13:39

本文选题：证券公司 + 经纪业务　；参考：《兰州大学》2013年硕士论文

【摘要】：多年来,经纪业务一直是我国证券公司的核心业务,收入占比始终居于首位,是证券公司最重要的利润来源。但是随着2002年佣金率的相对自由化,行业佣金率持续走低,而近几年持续低迷的二级市场更是对经纪业务“雪上加霜”,随着竞争日趋激烈,传统经纪业务面临前所未有的巨大压力。尽管自从实行浮动佣金后,券商就开始谋求转型,但直至2010年融资融券推出、2012年行业创新浪潮掀起,经纪业务在创新背景下才迎来实质性的创新转型机遇,证券公司纷纷试水创新,勇于“尝鲜”。信用交易发展迅速,占比日渐提高,资产管理、投行等创新阵地也为经纪业务提供了创新契机。创新为证券行业注入的新的活力,为券商的新一轮发展带来了希望。首先,本文分析了国内证券市场的沿革和现状,对目前证券公司经纪业务中出现的问题和面临的机遇进行了客观分析,阐明了经纪业务创新与转型的必然性。其次分析了国内证券公司创新业务的开展情况,并对经纪业务未来的创新趋势进行了展望。创新为经纪业务带来的机遇与挑战并存,证券行业正从狭义的经纪业务运营商向综合金融服务商转变。未来经纪业务中传统通道业务收入占比将继续下滑；金融产品将不断丰富；信用交易占比将快速提高；差异化、丰富、有效的服务是竞争的有力手段；轻型营业部和网上开户的发展将对原有的市场格局产生明显影响,区域型券商面临更大压力；营销策略需要进一步创新来适应新的市场环境。最后,本文理论联系实际,以华龙证券经纪业务转型为案例,通过分析华龙证券的内外部环境,运用SWOT模型对华龙证券经纪业务的竞争环境、内部资源和外部因素进行了详细的分析和研究。在此基础上,探讨了华龙证券经纪业务创新转型的一系列策略和建议,包括公司的经纪业务侧重点的倾斜,创新业务加重考核权重,财富管理品牌的塑造,客服内容和方式的创新等。另外,还对创新实践的保障措施进行了讨论,包括创新转型期的绩效考核制度、人才制度、风险控制与合规等。华龙证券是一家区域特征较为明显的甘肃券商,行业排名居中,经纪业务一直是公司最重要的收入来源。本文旨在研究券商创新背景下经纪业务的创新思路和趋势,对华龙证券顺应行业发展趋势、推动经纪业务转型提出具有实际指导意义的对策与建议。
[Abstract]:For many years, brokerage business has been the core business of securities companies in our country, and the proportion of income has always occupied the first place, which is the most important source of profits for securities companies. However, with the relative liberalization of the commission rate in 2002, the industry commission rate continued to decline, and the continuing downturn in the secondary market in recent years has made the brokerage business "worse", with the competition becoming increasingly fierce. Traditional brokerage business is facing unprecedented tremendous pressure. Although since the implementation of the floating commission, the brokerage began to seek transformation, but until the launch of margin financing in 2010, the industry innovation wave in 2012, brokerage business in the context of innovation only ushered in substantive innovation transformation opportunities. Securities companies have tried water innovation, the courage to "taste fresh." Credit transaction is developing rapidly and the proportion of credit is increasing day by day. The innovation position of asset management and investment bank also provides innovation opportunity for brokerage business. Innovation for the securities industry into the new vitality, for the new round of securities companies to bring hope. First of all, this paper analyzes the evolution and present situation of domestic securities market, analyzes the problems and opportunities faced by securities companies in brokerage business, and expounds the inevitability of innovation and transformation of brokerage business. Secondly, the paper analyzes the development of domestic securities companies' innovative business, and looks forward to the future innovation trend of brokerage business. Innovation brings both opportunities and challenges to brokerage business, and the securities industry is changing from a narrow brokerage business operator to a comprehensive financial service provider. In the future, the proportion of income of traditional channel business will continue to decline; financial products will be enriched; the proportion of credit transactions will increase rapidly; differentiated, rich and effective services will be the competitive means; The development of light business department and online account opening will have an obvious impact on the original market structure, regional securities companies are facing greater pressure, and marketing strategies need further innovation to adapt to the new market environment. Finally, this paper combines theory with practice, taking Hualong Securities brokerage business transformation as a case, through analyzing the internal and external environment of Hualong Securities, using SWOT model to analyze the competitive environment of Hualong Securities brokerage business. Internal resources and external factors were analyzed and studied in detail. On this basis, this paper discusses a series of strategies and suggestions for the innovation transformation of Hualong securities brokerage business, including the inclination of the focus of the brokerage business, the heavier assessment weight of the innovation business, and the shaping of wealth management brand. Customer service content and way of innovation. In addition, the guarantee measures of innovation practice are discussed, including the performance appraisal system, talent system, risk control and compliance in the period of innovation transformation. Hualong Securities is a more obvious regional characteristics of Gansu securities firms, the industry ranking in the middle, brokerage business has been the company's most important source of income. The purpose of this paper is to study the innovative ideas and trends of brokerage business under the background of brokerage innovation, and to put forward practical guiding countermeasures and suggestions for Hualong Securities to conform to the development trend of the industry and to promote the transformation of brokerage business.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F273.1;F832.39

【参考文献】