深圳X证券营业部传统业务转型研究

发布时间：2018-05-06 11:36

本文选题：传统业务 + 业务转型　；参考：《深圳大学》2017年硕士论文

【摘要】：伴随资本市场的发展,我国证券行业的成长与发展十分迅猛。但纵观发展过程中,传统业务同质化问题突显,导致行业内竞争日趋激烈。究其原因:首先是传统业务受到监管层的特别呵护,其次是经营成本低、利润高。但随着2008年股市的一波熊市的来临,各券商为了争夺更多的客户资源以扩展市场份额,纷纷采取以降低手续费标准为主的竞争手段,由于券商营业部的经营业务同质化问题严重、业务结构单一,手续费率不断下降严重影响了券商的收入水平。2012年,全国券商创新大会召开,提出证券行业需要加快创新改革的步伐、以改善证券行业的收入结构和提高营业部的盈利能力。近年来,互联网金融开始在证券行业应用甚至普及,随着互联网证券兴起,证券营业部所拥有的地域优势在逐渐减弱,尤其是互联网证券的低佣金率模式,几乎对所有证券公司的营业部门均产生严重影响。在内外部环境发生快速动态变化的情况下,证券营业部以开辟通道资源收取佣金的传统业务遭受到重大冲击。证券营业部门为了自身的生存发展,提出以市场需求为导向、以拓展新业务为牵引、加速传统业务转型的战略构想并迅速加以实施是客观的必然选择,亦是本研究的意义所在。文章首先对国内外有关业务创新、战略管理、证券市场的交易制度等相关文献及理论进行梳理回顾;对传统业务及创新业务利弊进行了比较分析;通过对证券营业部面临的宏微观环境的变化分析,应用波士顿矩阵理论分析工具,提出证券营业部业务组合的选择方向;最后,通过案例研究,对转型后的绩效与风险进行评价并提出对策建议。本文研究的基本结论是,不断变化的宏微观环境是证券营业部业务转型的外部压力、争取竞争优势的逐利行为是业务转型的内在动力、新业务带来新绩效的同时也会有新的风险。
[Abstract]:With the development of capital market, the growth and development of China's securities industry is very rapid. But throughout the development process, the traditional business homogenization problem highlights, leading to increasingly fierce competition within the industry. The reasons are as follows: first, the traditional business is specially protected by the supervision, and secondly, the operating cost is low and the profit is high. However, with the arrival of a bear market in the stock market in 2008, in order to compete for more customer resources in order to expand market share, securities firms have adopted competitive measures mainly to reduce the handling fee standards. Due to the serious problem of homogenization of business operation in the business department of securities companies, the single business structure and the declining handling fee rate have seriously affected the income level of securities companies. In 2012, the National Conference on Innovations for Securities companies was held. The paper points out that the securities industry should speed up the innovation and reform in order to improve the income structure of the securities industry and the profitability of the business department. In recent years, Internet finance has begun to be applied and even popularized in the securities industry. With the rise of Internet securities, the regional advantages of securities sales departments have gradually weakened, especially the low commission rate model of Internet securities. It has a serious impact on almost all securities firms. Under the circumstances of rapid dynamic changes in the internal and external environment, the traditional business of securities sales department to open up channels to collect commission has suffered a major impact. In order to survive and develop, the securities business department puts forward the strategic conception of speeding up the transformation of traditional business by taking the market demand as the direction, expanding the new business as the traction, and implementing it quickly, which is an objective and inevitable choice, and also the significance of this study. Firstly, the paper reviews the relevant literatures and theories about business innovation, strategic management, trading system of securities market, and analyzes the advantages and disadvantages of traditional business and innovation business. By analyzing the change of macro and micro environment faced by securities business department, applying Boston matrix theory analysis tool, the paper puts forward the choice direction of business combination of securities business department. Finally, through case study, To evaluate the performance and risk after the transition and put forward countermeasures and suggestions. The basic conclusion of this paper is that the changing macro and micro environment is the external pressure of the business transformation of the securities sales department, and the profit-driven behavior of striving for the competitive advantage is the internal motive force of the business transformation. New business brings new performance and new risks.
【学位授予单位】：深圳大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.39

【参考文献】