证券行业创新时期证券营业部模式转型初探

发布时间：2018-05-30 20:34

本文选题：证券公司 + 转型战略　；参考：《西南财经大学》2013年硕士论文

【摘要】：传统证券营业部依赖通道服务、服务同质化严重、缺乏真正的核心竞争力,由于佣金率下滑、交易量下滑、优质客户流失等多种原因导致营业部经纪业务收入也出现较大幅度的下降。2012年证券行业进入创新发展的新时期,在放松管制、加强监管的背景下,类似“双融”、“约定购回”、“资产证券化”等创新业务、创新服务不断涌现,以及新三板扩容、‘全国中小企业股份转让系统建成、前海产权交易中心成立标志着中国建设多层次资本市场建设进入一个重要的发展阶段给证券公司营业部业务发展带来重要的发展机会。如何在新的证券行业创新发展时期,突破现在的红海竞争困境,探索适合于营业部实际情况的服务转型战略,实现从通道经纪业务向“产品+服务”综合金融服务的转型,从投资咨询服务向投资顾问、财富管理服务转型,从以个人客户为主向以企业机构客户提供投融资服务转型,从而培育营业部长期发展必须的核心竞争力。因此,研究证券营业部在创新发展的新时期的转型战略对行业发展都非常有指导意义,对于提升证券公司的服务水平、进而提高证券公司的核心竞争力有着重要而现实的意义。本研究报告以客户服务体系、证券营业部发展战略等理论为指导,在回顾X证券M营业部实施战略转型历程的基础上,对X证券M营业部实施“砺剑计划”、发展机构客户的服务转型过程中遇到具体困难、转型战略制定和实施、经验收获等方面进行分析。结合证券行业创新发展的新趋势,探索证券营业部转型业务模式,通过对证券营业部竞争困境、发展机遇、转型的策略、转型实践问题的分析,试图寻找一条证券营业部成功实现服务转型的模式,为证券营业部未来发展寻找方向,引导证券营业部在更广阔的的“蓝海”上去展开更高层次的竞争以形成难以超越的竞争优势。本研究报告通过六个章节进行阐述：第一章：研究背景、研究意义、研究思路、研究方法；第二章：对客户服务体系、证券营业部发展战略的理论研究,奠定营业部转型的理论基础；第三章：证券营业部的竞争困境和发展机遇分析。第四章：M营业部转型实践1-M营业部实施“砺剑计划”,打造投顾为基础的财富管理服务体系；第五章：M营业部转型实践2-M营业部开发机构业务进军新蓝海；第六章：总结证券营业部转型模式,并对转型中遇到问题和解决思路进行初步探讨。本研究报告主要贡献： 1)通过对证券营业部目前发展阶段的竞争困境的研究,从更深层次研究证券营业部发展转型时期的主要战略思想：从营业部组织结构、业务结构、服务体系、人才培养等方面实现“产品+服务”的全面转型,建立起依托财富管理为核心的投融资综合服务体系是关键。报告将对M营业部实施砺剑计划来实现服务转型的过程进行分析总结,提出营业部转型的基本战略思想,对行业其它营业部发展有借鉴意义。 2)国家建设多层次资本市场对营业部发展来说是一个重大的历史机遇,发展机构业务是证券营业部开展竞争的新突破。本报告将对营业部可以参与机构业务的业务类型、各业务开发思路以及机构业务开发具体实施方案等方面进行分析,提出“发展机构业务是服务转型的主要方向”、“发展机构业务要敢于创新并善于创新,没有创新就没有未来”、“因地制宜寻求重点突破是营业部开发机构业务的关键阶段”等发展思路。本报告的创新之处： 1)选题具有强烈的现实意义,对证券营业部转型工作有较好的借鉴意义。目前证券行业内竞争日趋激烈,产品同质化严重,各证券公司经营模式基本相同,在创新发展时期,各证券营业部都基本达成服务转型的共识,但是如何转型才能让证券营业部业务发展更上新台阶,如何通过转型才能培养营业部核心竞争力是一个见仁见智的课题。X证券M营业部的转型成功实践给大家展示了一种转型的思路。 2)理论基础扎实。本研究运用了大量的理论,通过对客户关系管理、财富管理和多层次资本市场、金融企业战略等理论等进行回顾研讨,并在理论基础之上结合营业部实际为营业部的经营管理提出了一些建设性意见。 3)重视实践性,理论和实践相结合。本报告立足于营业部转型实际工作中具体问题进行研究分析,在理论指导下寻求可行的系统化解决方案,并对经验进行总结。
[Abstract]:The traditional securities business department is dependent on the channel service, the service is homogeneity serious and the core competitiveness is lacking. Due to the decline of the commission rate, the decline of the transaction volume, the loss of high quality customers and so on, the business revenue of the brokerage business has also been greatly reduced in the new period of.2012 years' entry to the innovation and development. Under the background of strong supervision, it is similar to "double melting", "agreed to buy back", "asset securitization" and other innovative services, innovation services are constantly emerging, and the new three board expansion, 'the national small and medium-sized enterprises' share transfer system has been completed. The establishment of Qianhai property right trading center marks an important development step in the construction of China's multi-level capital market construction. The section provides an important development opportunity for the business development of the securities company. How to break through the present competitive dilemma in the Red Sea, explore the service transformation strategy suitable for the actual situation of the business department, and realize the transformation from the channel brokerage business to the "product + service" comprehensive financial service in the new development period of the new securities industry and to realize the transformation from the channel brokerage business to the "product + service" comprehensive financial service and from the investment consultation. The transformation of services to investment advisors, wealth management services, and the transformation of investment and financing services from individual customers to enterprise institutional customers, thus fostering the core competitiveness of the long-term development of the business department. It has important and practical significance to improve the service level of securities companies and enhance the core competitiveness of securities companies.
Guided by the theory of the customer service system and the development strategy of the securities business department, the research report, on the basis of reviewing the strategic transformation process of the X securities M business department, implements the "temper sword plan" for the X M business department, and meets the specific difficulties in the process of service transformation of the institutional customers, the formulation and implementation of the transformation strategy, the experience harvest and so on. In view of the new trend of the innovation and development of the securities industry, the transformation business model of the securities business department is explored. Through the analysis of the competition dilemma, the development opportunity, the strategy of transformation and the practice of the transformation, this paper tries to find a model for the successful implementation of the service transformation of the securities business department and find a way for the future development of the securities business department. To guide the securities business department to develop a higher level of competition in a broader "blue sea" to form a competitive advantage that is difficult to surpass. This research report describes in six chapters:
Chapter 1: research background, research significance, research ideas and research methods;
The second chapter: the theoretical research on the customer service system and the development strategy of the securities business department, laying the theoretical foundation for the transformation of the business department.
The third chapter: the analysis of the competitive difficulties and opportunities of the securities business department.
The fourth chapter: M business department transformation practice 1-M business department implements "sword sword plan", builds the wealth management service system based on investment.
The fifth chapter: M business department transformation practice 2-M business department development agency business into the new blue sea;
The sixth chapter summarizes the transformation mode of the securities business department, and probes into the problems and solutions in the transformation.
1) through the research on the competitive plight of the current development stage of the securities business department, we will study the main strategic ideas of the period of the development and transformation of the securities business department from a deeper level: the comprehensive transformation of the "product + service" from the organizational structure of the business department, the business structure, the service system, the training of talents and so on, and the foundation of the foundation of wealth management as the core. The key to the integrated service system of investment and financing is the analysis and summary of the process of implementing the service transformation by the M business department to realize the service transformation, and put forward the basic strategic ideas of the transformation of the business department, which can be used for reference to the development of other business departments in the industry.
2) the national construction of multi-level capital market is a great historical opportunity for the development of the business department. The development of the agency business is a new breakthrough in the competition of the securities business department. This report will analyze the business types of the business department, the development ideas of each business and the specific implementation plan for the development of the agency business. "Development agency business is the main direction of service transformation". "Development agency business should be creative and innovative, no innovation has no future". "Seeking key breakthroughs in local conditions is the key stage of business development agency business" and other development ideas.
The innovation of this report:
1) the topic is of strong practical significance. It has a good reference significance to the transformation of the securities business department. At present, the competition in the securities industry is becoming increasingly fierce, the product is homogeneity seriously, and the operating modes of the securities companies are basically the same. In the period of innovation and development, all the securities business departments have basically reached the consensus of the service transformation, but how can the transformation be made The development of the business department of securities is more and more new. How to train the core competitiveness of the business department through transformation is a matter of understanding. The successful practice of the transformation of the M Business Department of.X securities has shown a way of thinking for the transformation.
2) the theoretical basis is solid. This study uses a large number of theories and reviews the theory of customer relationship management, wealth management and multi-level capital market, financial enterprise strategy and so on. On the basis of the theory, some constructive suggestions have been put forward to the management of the business department on the basis of the business department.
3) attach importance to practicality, combine theory with practice. This report is based on the research and analysis of specific problems in the practical work of the business department, and seeks a feasible systematic solution under the guidance of the theory, and summarizes the experience.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F832.39

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