证券公司传统营业部的经营模式转型

发布时间：2018-06-25 12:41

本文选题：营业部经营模式转型 + 创新　；参考：《华东理工大学》2013年硕士论文

【摘要】：伴随着中国资本市场的快速发展,作为中国资本市场重要组成部分的券商的创新步伐也在日益加快,券商的重要业务支柱——经纪业务也发生了根本性的转变。券商营业部,是券商经纪业务的核心载体,长期以来,一直以“坐商”、“靠天吃饭”的姿态出现；但伴随着交易量与佣金率下滑的双杀,以及营业网点的大幅度增加,同时来自于外部的金融混业经营的趋势、境外券商的介入、信息技术等方面的挑战,券商营业部的生存压力逐渐显现。面对着严峻的形式,开源和节流、改革和创新成为券商营业部的共识。券商经纪业务开始了一系列改革创新的尝试,从券商银证通模式的推行,到2008年证券经纪人管理规定的实施,从2010年投资顾问业务暂行规定的推出到2012年券商创新改革的11项措施,从过去一直依赖于依靠通道收入到金融产品的竞争,从过去的单一服务思维到目前向财富管理模式的探索；经纪业务进入了快速、多元化的发展之路。通过分析证券经纪业务多年来的探索和实践,本文将证券营业部经营模式转型作为研究对象,探讨券商营业部经营模式的转型的方式和方法。具体包括营业部组织管理架构的转变、考核激励体系的创新、服务产品体系的创新、人员结构的创新等；以改变目前传统营业部的经营发展模式,保证证券营业部科学、健康可持续发展。
[Abstract]:With the rapid development of China's capital market, the innovation of securities firms, as an important part of Chinese capital market, is also accelerating day by day, and the brokerage business, an important business pillar of securities firms, has also undergone a fundamental transformation. The brokerage business department is the core carrier of brokerage business. For a long time, it has been appearing as "sitting on the table" and "relying on the sky to eat"; but with the decline in trading volume and commission rate, the double kill, as well as the substantial increase in the number of business outlets, At the same time, due to the external financial mixed operation trend, the involvement of foreign securities companies, information technology and other challenges, the survival pressure of the business department of securities companies gradually appears. Facing the severe form, open-source and cut expenditure, reform and innovation become the consensus of brokerage business department. Brokerage business has started a series of attempts to reform and innovate, from the implementation of the bank and securities exchange mode to the implementation of the securities broker management regulations in 2008. From the introduction of interim rules on investment advisory business in 2010 to the 11 measures of innovation reform in securities firms in 2012, they have relied on competition from channel income to financial products from the past. From the thought of single service in the past to the exploration of wealth management mode at present, brokerage business has entered a rapid and diversified way of development. By analyzing the exploration and practice of securities brokerage business over the years, this paper takes the business model transformation of securities business department as the research object, and probes into the ways and methods of the transformation of the business model of securities brokerage department. It includes the transformation of the organization and management structure of the business department, the innovation of the examination and incentive system, the innovation of the service product system, the innovation of the personnel structure, and so on, in order to change the current management and development mode of the traditional business department and ensure the science of the securities sales department. Healthy and sustainable development.
【学位授予单位】：华东理工大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F272.3;F832.39

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