东北证券C营业部投资顾问业务发展策略研究
发布时间：2018-08-30 09:42
【摘要】：金融危机以来,在国际经济增速下滑及国内经济面临结构转型的大背景下，资本市场的估值体系受到严重影响，股市相对低迷。各个证券公司由于有牛市时期的积累，及政策的逐步放宽，营业部加速扩容。为抢夺客源,提高市场份额，佣金价格战立即成为各券商的最直接的手段。受此影响，行业的平均佣金率逐年下滑,且呈愈演愈烈之势。券商之间的竞争日趋白热化,传统的经纪业务步入发展瓶颈,转型迫在眉睫，各证券公司都将降低传统经纪业务利润占公司净利润比重作为改善公司盈利结构的最重要的指标之一。2010年10月19日,证监会发布、2011年1月1日开始实施的《证券投资顾问业务暂行规定》(以下简称《暂行规定》),旨在规范证券公司、证券投资咨询机构从事证券投资顾问业务,保护投资者合法权益。《暂行规定》的出台将使证券公司的投资顾问业务得到规范,有利于提升证券服务核心竞争力,是券商经纪业务盈利模式的一次重大变革。 本文以东北证券C营业部的投资顾问业务发展作为蓝本，明确投资顾问业务内涵,充分认识其意义。通过陈述东北证券C营业部投资顾问业务的现状及存在的问题，结合国内外优秀证券公司投资顾问业务模式的经验，对证券营业部投资顾问业务的发展进行深入分析和研究，例如盈利模式比较单一,投资顾问人员稀缺,团队不够成熟稳定,绩效奖励不充分等影响投资顾问业务发展的关键环节。本文所做研究目的就是,如何解决东北证券C证券营业部投资顾问业务开展中遇到的各项实际问题,利用工商管理等学科相关知识和理论基础,来分析研究投资顾问业务的开展办法,寻求有效的解决方案，试图找到一种符合证券营业部自身实际，行之有效的投资顾问业务发展模式。 本文深度对C证券营业部投资顾问业务做出了深入分析,探讨了新的建设性想法，对东北证券C营业部投资顾问业务的发展提出了相应的对策和建议。重点解决投资顾问业务中重要的三个环节:盈利模式设计,投资顾问团队建设和投资顾问激励机制。C证券营业部投资顾问业务应向以客户为导向的理财增值服务转变,针对大多数客户的实际需求，培育客户付费习惯，探索向财富管理方向转型的道路。建议C营业部建立以为客户保值增值为基础的服务体系，推进投资顾问业务摆脱现有体制的束缚，改善已经被扭曲的客户关系，建立完善的组织机构和运行机制，，加大理财产品的创新，丰富理财内容，培养专业的金融人才，向专业化进一步发展，回归金融理财、创造绝对收益的本质。为最终实现东北证券经纪业务模式的快速转型提供借鉴。
[Abstract]:Since the financial crisis, the capital market valuation system has been seriously affected and the stock market has been relatively depressed against the backdrop of the decline in international economic growth and the structural transformation of the domestic economy. Various securities companies due to the accumulation of bull period, and the gradual relaxation of policies, business accelerated expansion. In order to seize the source of customers and increase market share, the commission price war immediately became the most direct means of securities companies. Affected by this, the industry's average commission rate declined year by year, and showed a growing trend. The competition between securities companies is becoming more and more intense, traditional brokerage business step into the bottleneck of development, the transition is imminent. All securities firms have made reducing the share of traditional brokerage profits in their net profits one of the most important indicators to improve their earnings structure. The interim provisions on Securities Investment Advisory Business (hereinafter referred to as "interim provisions"), promulgated by the Securities Regulatory Commission on January 1, 2011, are aimed at standardizing securities companies and securities investment consulting institutions engaged in securities investment advisory business, To protect the legitimate rights and interests of investors. The introduction of interim regulations will standardize the investment advisory business of securities companies, and will help to enhance the core competitiveness of securities services, which is a major change in the profit model of brokerage business of securities firms. Based on the development of investment advisory business in Northeast China Securities Business Department, this paper defines the connotation of investment advisory business and fully understands its significance. By stating the present situation and existing problems of investment advisory business in Northeast China Securities Business Department, and combining with the experience of domestic and foreign excellent securities companies' investment advisory business model, this paper makes an in-depth analysis and study on the development of investment advisory business in the securities business department. For example, the profit model is single, the investment consultant is scarce, the team is not mature and stable, the performance reward is insufficient and so on. The purpose of this paper is how to solve the practical problems encountered in the investment advisory business of Northeast Securities C Securities Business Department, and make use of the relevant knowledge and theoretical basis of business administration and other disciplines. To analyze and study the development of investment advisory business, to find an effective solution, to find a practical and effective investment advisory business development model in accordance with the securities business department itself. This paper makes a deep analysis of the investment advisory business of C securities business department, probes into new constructive ideas, and puts forward corresponding countermeasures and suggestions for the development of investment advisory business in the C business department of Northeast China Securities Business Department. We should focus on solving three important aspects of investment advisory business: profit model design, investment advisory team building and investment adviser incentive mechanism. C Securities Business Department should change its investment advisory business to a customer-oriented wealth management value-added service. To meet the actual needs of most customers, we should cultivate customer paying habits and explore the way of transition to wealth management. It is suggested that the business department C establish a service system based on maintaining and increasing the value of customers, promote investment advisory business to get rid of the shackles of the existing system, improve the already distorted customer relationship, and establish a perfect organization and operation mechanism. We should increase the innovation of financial products, enrich the content of financial management, train professional financial talents, further develop to specialization, return to financial management, and create the essence of absolute income. For the ultimate realization of northeast securities brokerage business model of rapid transformation to provide 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】：F272;F832.39
[Abstract]:Since the financial crisis, the capital market valuation system has been seriously affected and the stock market has been relatively depressed against the backdrop of the decline in international economic growth and the structural transformation of the domestic economy. Various securities companies due to the accumulation of bull period, and the gradual relaxation of policies, business accelerated expansion. In order to seize the source of customers and increase market share, the commission price war immediately became the most direct means of securities companies. Affected by this, the industry's average commission rate declined year by year, and showed a growing trend. The competition between securities companies is becoming more and more intense, traditional brokerage business step into the bottleneck of development, the transition is imminent. All securities firms have made reducing the share of traditional brokerage profits in their net profits one of the most important indicators to improve their earnings structure. The interim provisions on Securities Investment Advisory Business (hereinafter referred to as "interim provisions"), promulgated by the Securities Regulatory Commission on January 1, 2011, are aimed at standardizing securities companies and securities investment consulting institutions engaged in securities investment advisory business, To protect the legitimate rights and interests of investors. The introduction of interim regulations will standardize the investment advisory business of securities companies, and will help to enhance the core competitiveness of securities services, which is a major change in the profit model of brokerage business of securities firms. Based on the development of investment advisory business in Northeast China Securities Business Department, this paper defines the connotation of investment advisory business and fully understands its significance. By stating the present situation and existing problems of investment advisory business in Northeast China Securities Business Department, and combining with the experience of domestic and foreign excellent securities companies' investment advisory business model, this paper makes an in-depth analysis and study on the development of investment advisory business in the securities business department. For example, the profit model is single, the investment consultant is scarce, the team is not mature and stable, the performance reward is insufficient and so on. The purpose of this paper is how to solve the practical problems encountered in the investment advisory business of Northeast Securities C Securities Business Department, and make use of the relevant knowledge and theoretical basis of business administration and other disciplines. To analyze and study the development of investment advisory business, to find an effective solution, to find a practical and effective investment advisory business development model in accordance with the securities business department itself. This paper makes a deep analysis of the investment advisory business of C securities business department, probes into new constructive ideas, and puts forward corresponding countermeasures and suggestions for the development of investment advisory business in the C business department of Northeast China Securities Business Department. We should focus on solving three important aspects of investment advisory business: profit model design, investment advisory team building and investment adviser incentive mechanism. C Securities Business Department should change its investment advisory business to a customer-oriented wealth management value-added service. To meet the actual needs of most customers, we should cultivate customer paying habits and explore the way of transition to wealth management. It is suggested that the business department C establish a service system based on maintaining and increasing the value of customers, promote investment advisory business to get rid of the shackles of the existing system, improve the already distorted customer relationship, and establish a perfect organization and operation mechanism. We should increase the innovation of financial products, enrich the content of financial management, train professional financial talents, further develop to specialization, return to financial management, and create the essence of absolute income. For the ultimate realization of northeast securities brokerage business model of rapid transformation to provide 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】：F272;F832.39
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7 周U
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