光大证券经纪人制度的分析与管理信息系统的构建

发布时间：2018-03-02 18:35

本文选题：证券经纪人　切入点：证券经纪人制度　出处：《复旦大学》2012年硕士论文　论文类型：学位论文

【摘要】：目前我国的证券公司收入的主要来源于证券经纪业务,但随着佣金价格战的白热化,证券公司的利润有明显下降之趋势,为解决当务之急,各大券商纷纷开始寻找新的业务拓展模式。但是,任何的方式的业务拓展,都是基于一个良好的营销团队以及优秀的营销策略。自从国内券商的经营模式由坐商转变为行商起,诞生了经纪人制度,也就是所谓的客户经理制度。而券商也只有拥有专业化的营销能力才能将其服务和产品转化为利润,赢得良好的口碑,并取得竞争优势。作为光大集团旗下的AA级券商,光大证券有逾百家营业部遍布全国。公司在全力拓展创新业务的同时,也非常注重证券营销团队的建设,不断摸索和寻求一套完善的经纪人管理制度。本论文首先以发达国家成熟的证券经纪人制度为模范,介绍了国外证券证券经纪人制度的起源以及发展情况,列举了以美林证券的FC(投资顾问)制度和爱德华·琼斯的IR(投资代表)制度为例的经纪人制度的建立与实行,再结合实际情况,介绍了我国经纪人制度的演化以及对现有经纪人模式进行了归类；然后以光大证券淮海中路营业部为研究对象,简述了目前公司所实行的经纪人制度,包括晋升淘汰考核、薪酬分配以及日常管理,分析其在发展过程中存在的问题,提出了导致问题产生的原因；最后,以加强对证券经纪人的管理以及证券经纪人的自我管理为目的,设计了一套适用于证券经纪人的管理信息系统,有助于营业部优化证券经纪人队伍的建设
[Abstract]:At present, the income of securities companies in our country mainly comes from the securities brokerage business. However, with the intensification of the commission price war, the profits of the securities companies have an obvious downward trend. The major securities firms have begun to look for new business development models. However, any way of business expansion is based on a good marketing team and excellent marketing strategy. The broker system, that is, the so-called account manager system, was born, and the securities companies only have the specialized marketing ability to transform their services and products into profits, win good reputation and gain the competitive advantage. As an AA class brokerage owned by Everbright Group, Everbright Securities has more than 100 business offices throughout the country. While the company is fully expanding its innovative business, it also attaches great importance to the construction of a securities marketing team. Continue to explore and seek a set of perfect broker management system. This paper first introduces the origin and development of foreign securities broker system, taking the mature securities broker system in developed countries as a model. The establishment and implementation of the brokerage system, taking Merrill Lynch's FCadvisory system and Edwards Jones's IRR system as examples, was cited, and combined with the actual situation. This paper introduces the evolution of our country's broker system and classifies the existing broker mode, and then taking the Huaihai Central Road Business Department of Everbright Securities as the research object, briefly introduces the broker system, including promotion and elimination examination, which has been carried out in the company at present. Salary distribution and daily management, analysis of the problems in the process of development, put forward the causes of the problem; finally, to strengthen the management of securities brokers and securities brokers' self-management as the purpose, This paper designs a set of management information system suitable for securities brokers, which is helpful to optimize the construction of securities broker team in business department.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

【参考文献】