方正证券经纪业务转型过程中的问题与对策研究

发布时间：2018-05-03 08:57

本文选题：证券公司 + 经纪业务　；参考：《吉林大学》2013年硕士论文

【摘要】：证券业作为中国金融行业的重要组成部分，已历经了近二十年的风风雨雨。以20世纪90年代初期上海证券交易所成立为起点，中国的证券经纪业务初创利润惊人。但之后受巨大利益的诱惑，大量的证券公司成立，导致同质化严重，竞争加剧。长期以来，经纪业务一直是证券公司的主要支柱业务之一，为证券公司带来了大量的收入。当前，，经纪业务的竞争几乎到了白热化的地步，从业人员不够专业，同质化产品过量，佣金下降，很多券商依靠经纪业务很难获得较大收益。事实上，我国已有不少券商力图通过转型来找到合适的经纪业务发展模式和途径，但是收效甚微。步入2013年，券商在经纪业务转型的道路上依旧困难重重，本次研究希望以方正证券作为典型，在借鉴国外经纪业务转型的成功案例，并结合国内经济环境及行业环境后，揭示其在转型过程中将遇到的问题，进而依托该公司自身的优势，提出有效的应对措施，从而也为其他同行提供参考案例。本文共六个章节，第一章为绪论，介绍研究背景、意义、方法以及创新点，并对专家和其他研究人员提出的相关理论进行了总结；第二章是对美国券商证券经纪业务模式进行分析，主要以美林证券的经纪业务模式为研究对象，引出中国券商经纪业务发展所得到的启示；第三章对中国证券经纪业务现状和发展趋势进行剖析，提出国内证券经纪业务发展存在的问题；第四章是对本文的研究对象—方正证券的经纪业务发展现状以及转型过程中存在的问题进行了阐述；第五章则是对方正证券转型中存在的问题提出了对策和建议；第六章是结论，在回顾全文的基础上得出了证券经纪业务转型给方正证券带来的益处和给行业内其他券商值得借鉴的发展模式。
[Abstract]:As an important part of China's financial industry, the securities industry has experienced nearly 20 years of ups and downs. Starting from the establishment of the Shanghai Stock Exchange in the early 1990 s, China's securities brokerage business was startling in profit. However, after the temptation of huge interests, a large number of securities companies, leading to serious homogeneity, intensified competition. For a long time, brokerage business has been one of the main pillar businesses of securities companies, which has brought a lot of income to securities companies. At present, the competition of brokerage business has almost reached the point of intense, the employees are not professional enough, the homogeneous product is excessive, the commission is reduced, many securities companies depend on the broker business to obtain the bigger profit very hard. In fact, many securities firms in China have tried to find the appropriate mode and approach of brokerage business development through transformation, but little effect has been achieved. In 2013, the brokerage business in the brokerage business transformation on the road is still difficult, this study hopes to take Fang Zheng Securities as a typical, in reference to foreign successful cases of brokerage business transformation, and combined with the domestic economic environment and industry environment, It reveals the problems it will encounter in the process of transformation, and then, relying on its own advantages, puts forward effective countermeasures, thus providing reference cases for other peers. There are six chapters in this paper. The first chapter is the introduction, which introduces the background, significance, methods and innovations of the research, and summarizes the relevant theories put forward by experts and other researchers. The second chapter is an analysis of the American securities brokerage business model, mainly based on Merrill Lynch brokerage business model as the research object, leading to the inspiration of the development of Chinese securities brokerage business; The third chapter analyzes the current situation and development trend of securities brokerage business in China, and points out the problems existing in the development of domestic securities brokerage business. The fourth chapter is the research object of this article-Fang Zheng Securities brokerage business development status and problems in the process of transformation, the fifth chapter is the other side of the positive securities transformation problems put forward countermeasures and suggestions; The sixth chapter is the conclusion, on the basis of reviewing the full text, the paper draws the benefit of the securities brokerage business transformation to Fang Zheng Securities and the development model that other securities firms in the industry can use for reference.
【学位授予单位】：吉林大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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