中原证券股份有限公司证券投资咨询业务研究

发布时间：2018-03-28 04:28

本文选题：中原证券　切入点：证券投资咨询业务　出处：《郑州大学》2012年硕士论文

【摘要】：近年来,随着我国经济实力的进一步增强,居民收入呈迅速上升趋势,理财需求越发旺盛。同时,以证券投资基金为主体的机构投资者快速发展,业已成长为我国证券市场的中坚力量。这为证券投资咨询业务的发展,尤其是证券公司证券投资咨询业务的发展,迎来一次重要历史机遇。但较之境外成熟市场的证券投资咨询行业务,国内证券投资咨询业仍显得年轻,还存在诸多问题亟待解决。他山之石,可以攻玉。本文在收集整理大量文献的基础上,通过实例系统研究中原证券股份有限公司(为书写方面,下文简称“中原证券公司”)投资咨询业务,并结合对境外成熟市场证券投资咨询业的运作和监管较为系统的梳理和经验总结,以及根据国内证券投资咨询业的现状和从业多年来的工作体会,对中原证券公司证券投资咨询业务发展提出建议。通过分析国内证券现状,借鉴境外证券投资咨询业务发展先进经验,研究中原证券公司证券投资咨询业务实际情况,本文提出加快该公司证券投资咨询业务的发展,可以采取如下措施：(1)提高中原证券公司证券研究部门的运行效率；(2)培育研究特色,突出差异化研究；(3)加强研究成果的转化,重视信息隔离制度的完善和执行；(4)加强政府监管与公司内部管理相结合的效率；(5)构建公司多层次性技术职务管理体系；(6)加强信息隔离制度执行和投资者教育的规划。
[Abstract]:In recent years, with the further strengthening of China's economic strength, the income of residents is rising rapidly, and the demand for financial management is more and more strong. At the same time, institutional investors with securities investment funds as the main body are developing rapidly. It is an important historical opportunity for the development of securities investment consulting business, especially the development of securities companies' securities investment consulting business. However, compared with the securities investment consulting firms in overseas mature markets, the domestic securities investment consulting industry is still young, and there are still many problems to be solved. A systematic study of the investment consulting business of Zhongyuan Securities Co., Ltd (for writing, hereinafter referred to as "Zhongyuan Securities Company") through an example, And combined with the operation and supervision of overseas mature market securities investment consulting industry more systematic combing and experience summary, and according to the current situation of domestic securities investment consulting industry and working experience for many years, To the Central Plains Securities Company securities investment consulting business development recommendations. By analyzing the present situation of domestic securities, using the advanced experience of overseas securities investment consulting business for reference, and studying the actual situation of securities investment consulting business of Zhongyuan Securities Company, this paper proposes to speed up the development of securities investment consulting business of Zhongyuan Securities Company. We can take the following measures: (1) improve the operational efficiency of the securities research department of the Central Plains Securities Company; (2) cultivate the research characteristics and highlight the differentiation research; and (3) strengthen the transformation of the research results. Pay attention to the perfection and implementation of Information isolation system 4) strengthen the efficiency of combining the government supervision with the internal management of the company. 5) construct the multi-level technical position management system of the company. 6) strengthen the implementation of the information isolation system and the plan of investor education.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

【参考文献】